B GIO DC V O TO TRNG I HC LUT TP.

H CH MINH -----------------

L MINH HNG

HIU LC CA HP NG
THEO QUI NH CA PHP LUT VIT NAM
CHUYN NGNH: LUT KINH T M S: 62.38.50.01

LUN N TIN S LUT HC

Ngi hng dn khoa hc: TS. PHAN HUY HNG

PGS.TS. NGUYN NH PHT

TP. H CH MINH - 2010

LI CAM OAN

Ti xin cam oan y l cng trnh nghin cu ca ring ti. Cc s liu nu trong lun n l trung thc. Kt qu nghin cu nu trong lun n cha tng c ai cng b trong bt k cng trnh no khc. Tc gi lun n

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MC LC
Trang
M U....................................................................................................................................... 1 Chng 1. NHNG VN L LUN V HIU LC HP NG........................ 8 1.1. Khi nim, bn cht ca hp ng ......................................................................................... 8 1.2. Khi nim hiu lc hp ng, hiu lc tng i ca hp ng ......................................... 16 1.3. C ch php l iu chnh hiu lc hp ng ...................................................................... 29 Chng 2. IU KIN C HIU LC CA HP NG .......................................... 39 2.1. Cc iu kin bt buc hp ng c hiu lc.................................................................. 39 2.2. Hnh thc hp ng iu kin c hiu lc ca hp ng trong trng hp php lut c qui nh ................................................................................................................................... 49 2.3. Mt s bt cp trong cc qui nh php lut hin hnh v hnh thc hp ng v nh hng hon thin ......................................................................................................................... 66 Chng 3. THI IM C HIU LC CA HP NG ......................................... 85 3.1. Thi im c hiu lc ca hp ng: khi nim v qui nh chung .................................... 85 3.2. Mt s bt cp trong php lut v thc tin p dng cc qui nh v thi im c hiu lc ca hp ng ......................................................................................................................... 95 3.3. Kin ngh hon thin cc qui nh php lut v thi im c hiu lc ca hp ng........ 116 Chng 4. HIU LC RNG BUC CA HP NG ............................................ 125 4.1. Hiu lc rng buc ca hp ng: khi nim v cc qui nh ........................................... 125 4.2. Mt s bt cp trong php lut v thc tin p dng cc qui nh v hiu lc rng buc ca hp ng..................................................................................................................... 134 4.3. Kin ngh hon thin php lut v hiu lc rng buc ca hp ng ................................ 142 Chng 5. HIU LC HP NG KHI HON CNH THAY I ...................... 154 5.1. iu khon sa i hp ng khi hon cnh thay i: khi nim v ni dung c bn...... 155 5.2. iu khon sa i hp ng khi hon cnh thay i (hardship clause) trong php lut cc nc v trong tp qun thng mi quc t................................................................. 161 5.3. Thc trng php lut v thc tin php l Vit Nam v iu khon sa i hp ng khi hon cnh thay i............................................................................................................... 171 5.4. Kin ngh xy dng v hon thin cc qui nh ca php lut hin hnh v sa i hp ng khi hon cnh thay i............................................................................................... 186

KT LUN............................................................................................................................. 198 NHNG CNG TRNH TC GI CNG B DANH MC TI LIU THAM KHO PH LC

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DANH MC NHNG T VIT TT

BLDS BLDS 1995 BLDS 2005 DLB 1931 DLSG 1972 DLT 1936 - 1939 HND HTP HP 1992 LNO 2005 LSHTT 2005 LTM 1997 LTM 2005 PECL

B lut Dn s B lut Dn s 1995 B lut Dn s 2005 B Dn lut Bc K 1931 B Dn lut Si Gn 1972 B Dn lut Trung k 1936 - 1939 Hi ng nhn dn Hi ng thm phn Hin php 1992 c sa i, b sung bi Ngh quyt 51/2001/QH10 Lut Nh 2005 Lut S hu tr tu 2005 Lut Thng mi 1997 Lut Thng mi 2005 Principles of European Contract Law (B Nguyn tc Lut Hp ng chu u) Principles of International Commercial Contract (B Nguyn tc hp ng thng mi quc t ca UNIDROIT) Ta n nhn dn Ta n nhn ti cao y ban nhn dn

PICC TAND TANDTC UBND

M U
1. Tnh cp thit ca ti Hp ng l mt trong nhng phng tin php l ch yu c nhn, t chc trao i li ch nhm tha mn cc nhu cu nhn sinh. Hp ng cng ng vai tr quan trng trong qu trnh vn hnh ca nn kinh t, v n l hnh thc php l c bn ca s trao i hng ha trong x hi. Trong hu ht cc BLDS c in, hp ng chim mt v tr trung tm v c ch nh vi dung lng ln nht so vi cc ch nh khc do vai tr trung tm ca n i vi trt t th trng[336, tr.900]. X hi cng pht trin, hp ng ngy cng c s dng nh l mt chun mc ng x ph bin gia t nhn vi nhau, gia t nhn vi c quan nh nc, thm ch l gia x hi vi nh nc (nh quan nim ca Rousseau [229]) trong cc lnh vc dn s, kinh doanh, thng mi v trong nhiu lnh vc khc nhau ca i sng. Ngy nay, ch nh hp ng v hiu lc hp ng tr thnh mt ch nh quan trng trong h thng php lut hp ng Vit Nam.V vy, c nhiu nghin cu, phn tch v ch nh hp ng, c bit l nhng vn hiu lc hp ng. Hiu lc ca hp ng ni y chnh l s to lp ra quyn v ngha v gia cc bn giao kt [249, tr.24], l hiu lc rng buc nh php lut i vi cc bn tham gia [299, tr. 1550]. Mt hp ng c k kt, nu khng c hiu lc th hp ng cha th to ra quyn v ngha v gia cc bn, cha rng buc cc bn vi nhau v php lut cng cha tc ng n cch x s ca cc bn theo qui nh ca hp ng . V vy, trc khi giao kt hp ng, thm ch ngay trong qu trnh thc hin hp ng, cc bn tham gia hp ng phi bit v hp ng v nhng qui nh ca php lut lin quan n tnh hiu lc ca hp ng. C th ni, php lut v hp ng v hiu lc ca hp ng cng hon thin th vic giao kt v thc hin hp ng ca cc ch th ngy cng thun li. Tuy vy, xt trn nhiu phng din, vn hiu lc ca hp ng l mt vn php l rt phc tp c v mt l lun cng nh thc tin p dng php lut.V mt l lun, cc hc gi vn cha thng nht c vi nhau trong vic xc nh ni dung ca hiu lc hp ng. Nhn xt v thc t ny, c lut gia cho rng: D lut gia no cng ni ti hiu lc ca hp ng, nhng khi c hi n l g v ni dung ra sao th phn ln ch ni ti iu kin c hiu lc ca hp ng v thi im c hiu lc ca hp ng [38, tr. 37].

2 Trong thc tin lp php, vn hiu lc ca hp ng c qui nh kh c th trong B lut Dn s 2005 (BLDS 2005). Tuy nhin, mt s quy nh v hiu lc hp ng trong BLDS 2005 cng bc l nhiu bt cp, gy kh khn cho cng tc gii quyt cc tranh chp c lin quan. Vn iu kin c hiu lc ca hp ng hin vn l vn cn gy nhiu tranh ci trong gii lut hc, c bit l iu kin hnh thc v ng li x l cc hp ng vi phm hnh thc. Qui nh v thi im giao kt v thi im c hiu lc ca hp ng vn cn nhiu im cha ph hp vi thc t v khng kh thi. Nhng bt cp trn y cn phi c nghin cu lm r v xut cc gii php php l nhm khc phc, hon thin. So vi php lut hp ng ca mt quc gia (Php, c, Anh, M, Nga), cc B nguyn tc hp ng quc t (PICC, PECL), qui nh trong lut Vit Nam v hiu lc ca hp ng vn cn nhiu im cha tng ng. Trong bi cnh Vit Nam hi nhp kinh t ngy cng su rng vo cc th ch kinh t quc t i hi cn phi c s ci cch thch ng h thng php lut, c bit l php lut v hp ng, theo hng tip thu c chn lc nhng im tin b trong php lut hp ng ca cc nc v ca cc B nguyn tc hp ng quc t, lm cho php lut hp ng Vit Nam ngy cng hon thin v c s tng ng hn so vi php lut ca cc quc gia trn th gii. T nhng l do trn tc gi la chn ti Hiu lc ca hp ng theo qui nh ca php lut Vit Nam lm lun n tin s lut hc. 2. Tnh hnh nghin cu ti Vic nghin cu vn hiu lc ca hp ng c nhiu nh khoa hc php l trong v ngoi nc quan tm, di nhng gc khc nhau. 2.1. nc ngoi: C nhiu cng trnh nghin cu v php lut hp ng ni chung, trong c cp n cc vn c lin quan n iu kin c hiu lc ca hp ng, giao kt hp ng, hiu lc ca hp ng khi hon cnh thay i, nh: cc sch chuyn kho v Lut hp ng The Modern Law of Contract, 5th ed ca Richard Stone [341], European Contract Law, Vol 1 Formation, Validity and Content of Contract ca Hein Kotz & Axel Flessner [321], Elements of the Law of Contract ca MacMillan C.A. & R. Stone [324], The Oxford Handbook of Comparative Law ca M. Reinmann & R. Zimmermann [336], The German Law of Contract A Comparative Treaties, 2nd ed. ca Basil Markesinis & others [328], Bi bo Competing Approaches to Force Majeure and Hardship ca Catherine Kessedjian [318]

3 Cc cng trnh ny khng nghin cu chuyn bit v hiu lc hp ng ni chung, v hiu lc hp ng theo qui nh ca php lut Vit Nam, ni ring. 2.2. trong nc: C mt s Lun n tin s nghin cu cc ti c lin quan n hiu lc hp ng, nh ti Ch hp ng trong nn kinh t th trng Vit Nam trong giai on hin nay ca TS. Phm Hu Ngh; Hp ng kinh t v hiu v hu qu php l ca hp ng kinh t v hiu ca TS. L Th Bch Th [247]; Giao dch dn s v hiu v vic gii quyt hu qu php l ca giao dch dn s v hiu ca TS. Nguyn Vn Cng [44]... Hin cn c mt s sch chuyn kho, cng trnh nghin cu c lin quan ti mt s kha cnh php l ca vn hiu lc hp ng, nh quyn Vit Nam Dn lut - luc kho ca GS. V Vn Mu, [168], Php lut v hp ng ca TS. Nguyn Mnh Bch [5], Ch nh hp ng trong B lut Dn s Vit Nam ca TS. Nguyn Ngc Khnh [108], Cm nang php lut v giao kt hp ng thng mi in t ca GS.TS. Nguyn Th M [174], Lut Hp ng Vit Nam Bn n v Bnh lun bn n, ca TS. Vn i [54]. Ngoi ra, cn c nhiu bi bo khoa hc ng trn cc tp ch, nh Hiu lc v thi im c hiu lc ca hp ng ca PGS.TS. inh Vn Thanh [240], iu chnh thng tin bt cn xng v qun l ri ro trong php lut hp ng Vit Nam ca PGS.TS. Phm Duy Ngha [201], Thi im c hiu lc ca hp ng ca TS. Phm Cng Lc [115] Nhng cng trnh khoa hc trn l ti liu v cng qu bu gip tc gi c thm nhiu thng tin quan trng phc v cho vic nghin cu lun n, nhng cc cng trnh k trn khng nghin cu ring v ton din v hiu lc ca hp ng theo qui nh ca php lut Vit Nam. Bi vy, vic la chn ti Hiu lc ca hp ng theo qui nh ca php lut Vit Nam lm lun n tin s lut l khng trng lp vi cc cng trnh khoa hc c cng b. 3. Mc tiu nghin cu v nhim v ca ti 3.1. Mc tiu nghin cu Mc tiu ca ti l thng qua vic nghin cu cc vn l lun, kho st thc trng php lut v thc tin p dng php lut v hiu lc hp ng Vit Nam, trn c s i chiu vi qui nh v hiu lc hp ng ca mt s quc gia trn th gii v mt s B nguyn tc hp ng quc t nhm gp phn lm r v lm phong

4 ph thm v c s l lun, thc tin v php l ca vn hiu lc hp ng, tip thu c chn lc nhng im tin b trong php lut quc t v hp ng; ng thi a ra nhng kin ngh c th sa i, b sung cc qui nh cn bt cp, thiu st trong php lut hin hnh, hon thin c ch php l iu chnh hiu lc hp ng theo xu hng hin i v hi nhp, qua nng cao hiu qu iu chnh ca php lut Vit Nam v hiu lc ca hp ng. 3.2. Nhim v ca ti ti c nhim v gii quyt nhng vn sau y: - Lm sng t nhng vn l lun chung v hiu lc ca hp ng, nh: lm r khi nim v bn cht ca vn hiu lc ca hp ng, xy dng khi nim c ch php l iu chnh hiu lc hp ng; lm r c s l lun v cc vn php l lin quan n hiu lc ca hp ng nh iu kin c hiu lc ca hp ng v nh hng ca n i vi hiu lc php lut ca hp ng, thi im c hiu lc ca hp ng, hiu lc rng buc ca hp ng, hiu lc ca hp ng khi hon cnh thay i. - Nghin cu thc trng php lut v thc tin p dng php lut v hiu lc hp ng Vit Nam, bao gm c vic nghin cu v mi quan h gia cc vn bn php lut lin quan v nhng im thiu st, chng cho, mu thun, bt cp ca php lut v hiu lc ca hp ng, nh gi thc trng ca qui nh php lut v hiu lc ca hp ng, t xc nh c nhng im cn sa i, b khuyt trong cc vn bn php lut v hp ng hin hnh ca Vit Nam. - Trn c s nhng bt cp c xc nh t xut nhng kin ngh, gii php php l c th trong vic sa i, b sung cc qui nh php lut Vit Nam hin hnh v hiu lc ca hp ng, ng thi xc nh c s l lun v thc tin cn thit lm cn c cho vic xut nhng kin ngh v gii php c th . 4. Phm vi nghin cu - V mt ni dung: Hiu lc ca hp ng l vn rt rng. Mt khc, vn hiu lc hp ng l vn mang tnh nguyn l chung ca hp ng v c qui nh ch yu trong BLDS, nn ni dung ca Lun n tp trung phn tch cc qui nh trong phn chung v hp ng trong BLDS 2005. iu ny khng c ngha Lun n ch nghin cu v hp ng trong lnh vc dn s. Bi l, khi nim hiu lc hp ng c trnh by trong Lun n l khi nim chung nht cho mi hp ng, bao gm c

5 hp ng dn s, kinh doanh thng mi v cc hp ng khc. Tuy nhin, trong phm vi nghin cu, lun n gii hn vic phn tch ch nhng vn hiu lc ca hp ng theo ngha rng (bao gm ch yu l cc hp ng kinh doanh thng mi v hp ng dn s), nh qui nh ti iu 1 BLDS 2005,1 m khng phn tch cc hp ng trong lnh vc lao ng. Bn cnh , lun n cn phn tch v cc qui nh c lin quan n hiu lc ca hp ng trong Lut Thng mi 2005 v cc vn bn lin quan khc, cng nh thc tin gii quyt tranh chp trong cc lnh vc ny. Ngoi ra, ni hm ca khi nim hiu lc ca hp ng l vn php l rt phc tp v c mi lin h bin chng vi nhiu vn php l quan trng khc ca php lut hp ng, nh qui nh v vic thc hin hp ng, tm hon thc hin hp ng do c s vi phm hoc d on c s vi phm hp ng ca bn kia, chm dt hp ng, trch nhim do vi phm hp ng, gii thch hp ng, hiu lc ca hp ng i vi ngi th ba, phn chia ri ro, thng tin bt cn xng Tuy nhin, ti cng khng c tham vng gii quyt mi vn khc c lin quan ti hiu lc ca hp ng, m ch i su tm hiu cc vn v iu kin c hiu lc ca hp ng, thi im c hiu lc ca hp ng, hiu lc rng buc ca hp ng, s hn ch hiu lc ca hp ng khi hon cnh thay i. - V mt thi gian: Cng vi vic nghin cu cc qui nh ca php lut, ti cng dnh mt liu lng thch hp nghin cu thc tin p dng php lut v hiu lc ca hp ng gii quyt cc tranh chp hp ng (dn s, kinh doanh thng mi) trn thc t, ti Ta n v Trng ti Thng mi Vit Nam, tnh t ngy BLDS 1995 c ban hnh, c bit l t khi BLDS 2005 c hiu lc n nay. 5. Phng php nghin cu ti vn dng cc phng php ca Ch ngha duy vt bin chng Mc-L nin v cc phng php chuyn ngnh khoa hc php l gii quyt nhng vn l lun v php l lin quan n cc qui nh v hiu lc ca hp ng. Trong , ch trng s dng phng php l ghch php l, phng php lch s v phng php so snh php lut lm r mi quan h gia qui nh v hiu lc ca hp ng trong phn chung BLDS vi cc qui nh v hiu lc ca cc hp ng dn s thng dng

iu 1 BLDS 2005 qui nh: B lut dn s quy nh a v php l, chun mc php l cho cch ng x ca c nhn, php nhn, ch th khc; quyn, ngha v ca cc ch th v nhn thn v ti sn trong cc quan h dn s, hn nhn v gia nh, kinh doanh, thng mi, lao ng (sau y gi chung l quan h dn s)

6 trong BLDS, v vi cc qui nh v hiu lc ca hp ng trong cc lut chuyn ngnh. Trong mt s vn c th (thi im c hiu lc ca hp ng, hiu lc ca hp ng khi hon cnh thay i) cng c so snh vi php lut hp ng ca mt s nc nh Php, c, Nga, Nht, Trung Quc... ti cng s dng phng php phng vn chuyn gia trong mt vi vn c th, v phng php kho st nh gi thc tin tm hiu thm quan im ca cc lut gia lm cng tc thc tin php l, qua gp phn lm r thm thc trng p dng cc qui nh v hiu lc ca hp ng trong vic gii quyt tranh chp v hiu lc ca hp ng ti Vit Nam t khi BLDS 1995 c ban hnh n nay. Cch nghin cu vn theo chiu dc nhm lm r ton b cc ni dung php l lin quan ti hiu lc hp ng trong mi quan h bin chng t khi giao kt, xc lp, thc hin hp ng n khi sa i, chm dt hp ng, v t nhng qui nh mang tnh nguyn tc chung cho n ngoi l ca nguyn tc hiu lc hp ng. Mt khc, trong mi vn , tc gi cng s dng cch thc truyn thng l i t nghin cu l thuyt c bn cho n thc trng php lut cng nh thc tin p dng, v cui cng l cc kin ngh hon thin php lut. 6. ngha khoa hc ti nghin cu c h thng v cc vn php l lin quan ti hiu lc hp ng, a ra nhng nh hng v xut cc kin ngh c th m kt qu ca n s l c s khoa hc cho vic xy v hon thin php lut hp ng Vit Nam, gp phn tng cng hiu qu iu chnh ca php lut hp ng trong iu kin kinh t th trng Vit Nam, trong xu hng hi nhp quc t ca h thng php lut ni ring v ca t nc Vit Nam ni chung, vo tro lu chung ca th gii. Gp phn lm hon thin php lut hp ng cng l gp phn vo vic bo m cho cc quan h hp ng Vit Nam c n nh, an ton php l v trnh c cc ri ro cho cc bn ch th, bo m quyn t do giao kt hp ng, quyn c php lut bo v khi tham gia cc quan h hp ng v cc quyn, li ch chnh ng ca cc bn trong hp ng. Kt qu nghin cu ti cng c th c s dng lm ti liu tham kho hu ch cho vic nghin cu v ging dy chuyn ngnh lut hp ng trong cc trng o to v lut.

7 7. Nhng im mi ca lun n Kt qu nghin cu c th hin trong lun n c mt s im mi sau y: - Mt l, nghin cu c s l lun ca vn hiu lc hp ng, phn tch v lm r ni hm ca cc khi nim hiu lc tng i ca hp ng, hiu lc rng buc ca hp ng (chng 1) kin ngh thay thut ng hp ng dn s trong qui nh ti iu 388 BLDS 2005 bng thut ng hp ng (chng 1); - Hai l, xy dng cc khi nim mi hiu lc ca hp ng (chng 1), c ch php l iu chnh hiu lc hp ng (chng 1), iu khon iu chnh hp ng khi hon cnh thay i theo quan nim php l Vit Nam (trn c s tip thu t khi nim hardship trong thc tin thng mi quc t), v lm r ni hm ca cc khi nim ny (chng 5). y l nhng khi nim mi cha c cp trong cc cng trnh khoa hc php l trc y. - Ba l, trong mi chng, tc gi u ch ra nhng im bt cp, thiu st ca php lut hin hnh v ca thc tin p dng, ng thi da trn nhng kt qu a ra cc kin ngh hon thin php lut v cc qui nh tng ng, nh cc kin ngh: hon thin cc qui nh v hnh thc hp ng v hu qu php l khi hp ng vi phm qui nh bt buc v hnh thc (chng 2) [Xem Ph lc 12]; sa i, b sung cc qui nh v thi im giao kt hp ng v thi im c hiu lc hp ng (chng 3) [Ph lc 13]; b sung qui nh v nguyn tc v ngoi l ca nguyn tc hiu lc rng buc hp ng, ng thi hon thin cc gii php khc phc do vi phm vic thc hin ngha v trong hp ng (chng 4) [Ph lc 14]. - Bn l, phn tch thc tin php lut v xu hng cho php iu chnh hiu lc ca hp ng khi hon cnh thay i (hardship), tm hiu kinh nghim xy dng v p dng php lut v ni dung tng ng trong php lut ca nc ngoi v ca cc b nguyn tc quc t v hp ng, t kin ngh Vit ha khi nim ny thnh khi nim sa i hp ng khi hon cnh thay i, v xut b sung vo trong BLDS 2005 cn c cho php sa i hp ng khi hon cnh thay i vi nhng tiu ch, ng li, gii php c th (chng 5) [Ph lc 15]. 8. Kt cu ca lun n Ngoi Phn m u, kt lun, danh mc ti liu tham kho, cc ph lc, ni dung ca Lun n gm 5 chng.

8 Chng 1

NHNG VN L LUN V HIU LC HP NG

Vn hiu lc ca hp ng bao gm v lin quan ti nhiu ni dung phc tp ca hp ng nh iu kin c hiu lc, thi im c hiu lc, hiu lc rng buc ca hp ng lm r ni dung v ngha php l ca vn hiu lc hp ng, to tin l lun cho vic nghin cu tip cc phn sau ca lun n, chng ny trnh by khi qut hiu lc hp ng, gm ba ni dung sau y: khi nim v bn cht ca hp ng, khi nim hiu lc hp ng v c ch iu chnh hiu lc hp ng. 1.1. KHI NIM, BN CHT CA HP NG 1.1.1. Khi nim hp ng c th tn ti v pht trin, cc ch th trong x hi phi tham gia vo cc giao dch nht nh thng qua vic trao i, dch chuyn cc li ch do mnh to ra v nhn li nhng li ch vt cht cn thit t cc ch th khc nhm tha mn cc nhu cu chnh ng ca mnh. Mt trong nhng phng thc c bn thc hin vic trao i li ch trong x hi chnh l s tha thun gia cc bn, da trn cc nguyn tc t do, t nguyn, bnh ng v c t di s bo tr ca lut php. Hin tng c nh danh trong lut bng thut ng php l: Hp ng. Ngy nay, hp ng l cng c php l quan trng v ph bin con ngi thc hin cc giao dch nhm tha mn hu ht mi nhu cu ca mnh. Tuy vy, trong lch s lp php ca nhn loi, tm ra c mt thut ng chnh xc, nh thut ng hp ng ang c s dng trong php lut ca hu ht cc quc gia ngy nay, l vic khng d dng. Nhiu lut gia cho rng thut ng hp ng (contractus) c hnh thnh t ng t contrahere trong ting La-tinh, c ngha l rng buc, v xut hin ln u tin La M vo khong th k V IV TCN [108, tr.29; 291, tr.1623]. Ban u, ngi La M cng khng c khi nim chung contractus m s dng cc thut ng ring bit ch cc hp ng c th ph bin nh mua bn (sponsio), vay mn (mutuum), gi gi (depositum), y thc (mandatum) Mi n thi ca lut gia La-be-n (th k 1 sau CN), ngi La M mi chnh thc s dng thut ng contractus trong lut, v quan h hp ng c php lut cng nhn v bo v di thi Justinnian [61, tr.81]. Sau ny, php lut cc nc phng Ty k tha v pht trin quan nim php l t thi La M v s dng chnh thc thut ng hp ng, m trong ting Anh c vit l contract, v trong ting Php l contrat.

9 Vit Nam, trong thc t i sng, c nhiu thut ng khc nhau c s dng ch v hp ng: kh c, giao ko, vn t, vn kh, cam kt, t giao c, t ng thun Trong c lut, da vo cc c liu lch s cn li cho n ngy nay, thut ng vn t hay vn kh[289, iu 363 v 366], hay mua, bn, cho, cm c s dng kh sm, trong B Quc triu Hnh lut [167, tr.156; 286, tr.57- 8]. Sau ny, thut ng kh c mi c s dng chnh thc trong Sc lnh ngy 21/7/1925 (c sa i bi Sc lnh ngy 23/11/1926 v Sc lnh ngy 06/9/1927) Nam phn thuc Php, trong B Dn lut Bc 1931 (sau y vit l DLB 1931), v trong B Dn lut Trung 1936 1939 (DLT 1936 1939). Thut ng kh c cng c s dng trong Sc lnh 97/SL ca nc Vit Nam Dn ch Cng ha, c H Ch tch k ban hnh ngy 22/5/1950 (iu 13). Thut ng kh c cng c s dng trong B Dn lut 1972 ca ch Vit Nam Cng ha min Nam trc 30/4/1975 (DLSG 1972) (iu 653). Ngoi ra, trong DLB 1931, DLT 1936 - 1939 v DLSG 1972 cn s dng thut ng hip c, trong nh lm lut xem kh c l mt hip c [13, iu 664; 91, iu 680] hoc ng nht gia kh c vi hip c [14, iu 653]. Cc vn bn php lut hin hnh ca nh nc ta khng cn s dng thut ng kh c hay hip c nh trc y m s dng cc thut ng c tnh chc nng, cng c [110, tr.40] nh hp ng dn s [15, iu 388], hp ng lao ng [23, iu 26-43], hp ng thng mi [154, khon 1 iu 3]. Trong php lut ca nhiu nc (nh s trnh by cc trang 3 5 di y) ch s dng thut ng hp ng, ch khng s dng cc thut ng hp ng dn s, hp ng thng mi, hp ng lao ng nh lut Vit Nam. Ngoi vic chn hp ng lm thut ng php l chnh thc trong cc vn bn php lut, cc lut gia cng quan tm ti vic lm r ni hm ca khi nim hp ng. V mt hc thut v php l, cc lut gia cng gp nhiu kh khn trong vic a ra mt nh ngha v hp ng. ng nh mt lut gia nhn xt, hp ng dng nh l mt trong nhng hin tng c th nhn thc c rt d dng nhng tht kh khn c th a ra c mt nh ngha v n [302, tr.14]. Trn thc t, s tip cn khi nim hp ng trong cc h thng php lut cng khc nhau. Quan nim ca cc lut gia thuc h thng Civil Law xem hp ng nh mt kt qu phc hp ca ch t do c nhn cng nhiu nguyn tc php l c bn ca Lut T. Theo Geoffrey Samuel,

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Khi nim hp ng trong h thng Civil law b chi phi bi ba nguyn tc. Th nht, hp ng c xem l kt qu chung ca s gp g ch ca cc bn. Th hai, l php lut do cc bn lp ra rng buc chnh cc bn trong hp ng. V s rng buc ca hp ng khng ch l hiu lc php l c d liu bi cc bn, m cn l hiu lc c m bo bi php lut, bi tp qun hoc bi yu cu ca nguyn tc thin ch, nhm xc lp trch nhim thc thi hp ng ph hp vi bn cht ca hp ng. Nguyn tc th ba l t do hp ng: cc bn c t do, trong phm vi gii hn ca lut cng v trt t cng cng, to ra loi hp ng m h mun, thm ch iu c th l v l theo cch nhn nhn ca ngi khc [339, tr.278].

Khc vi quan nim ca cc nc theo h thng Civil Law, trong h thng Common Law (Thng lut), ban u ngi ta xem hp ng nh l kt qu ca cc cam kt n gin, th hin bng nhng hnh vi php l c th ca mi bn. Sau ny,cc thm phn theo ch ngha thc dng (pragmatic) Anh xem xt hp ng nh l mt ngha v c to ra bi s gp g ch gia cc bn [339, tr.283 - 84]. C th ni, thut ng hp ng l mt phm tr a ngha v c th c xem xt nhiu gc khc nhau. Cc lut gia Vit Nam thng hiu khi nim hp ng theo hai ngha: ngha khch quan v ngha ch quan. Theo ngha khch quan, hp ng l mt b phn ca ch nh ngha v trong Lut Dn s, bao gm cc qui phm php lut c qui nh c th trong BLDS nhm iu chnh cc quan h x hi (ch yu l quan h ti sn) trong qu trnh dch chuyn cc li ch vt cht gia cc ch th vi nhau. Theo ngha ch quan, hp ng l s ghi nhn kt qu ca vic cam kt, tha thun gia cc ch th giao kt hp ng hay l kt qu ca vic tha thun, thng nht ch ca cc bn, c th hin trong cc iu khon c th v quyn v ngha v mi bn c c s cng nhau thc hin [239, tr.19]. Trong phm vi mc ny, tc gi ch bn v khi nim hp ng hiu theo ngha ch quan (ngha hp). Theo , ngoi vic c ghi nhn chnh thc trong cc vn bn php lut ca nhiu nc trn th gii, khi nim hp ng cn c nhiu hc gi a ra nhiu nh ngha khc nhau. Mt trong nhng nh ngha sm nht v hp ng thng c nhiu hc gi ngy nay nhc n v chp nhn, l nh ngha ca hc gi ngi Php - Pothier trong tc phm Trait des obligations nm 1761: Hp ng l s tha thun theo hai hoc ch mt bn ha, cam kt vi ngi khc chuyn giao mt vt, lm mt cng vic hoc khng lm mt cng vic [321, tr.3]. nh ngha ny khng khc g so vi nh ngha hp ng trong cc BLDS hin i ngy

11 nay. BLDS Php cng c nh ngha hp ng ging gn nh hon ton nh ngha ca Pothier: Hp ng l s tha thun gia cc bn, theo mt hoc nhiu ngi cam kt vi mt hoc nhiu ngi khc v vic chuyn giao mt vt, lm hoc khng lm mt cng vic no [19, iu 1101]. Theo qui nh ti iu 1378 BLDS 1994 ca Bang Qubec (Canada): Hp ng l s thng nht ch, theo mt hoc nhiu ch th phi thc hin nhng cam kt nh v li ch ca mt hoc nhiu ch th khc. Tuy c tnh khi qut hn, nhng nh ngha ny cng khng hon ton thot ly khi nh ngha ti iu 1101 BLDS Php. C hai nh ngha trn u th hin r bn cht ca hp ng l s tha thun hay thng nht ch gia cc bn. Tuy nhin, ni dung nh ngha ch th hin chc nng ca hp ng m cha ch ra c du hiu c trng th hai ca hp ng: nhm to ra hiu lc rng buc php l v quyn v ngha v gia cc bn. nh ngha hp ng cng c qui nh ti iu 1-201 B lut Thng mi Thng nht Hoa K (Uniform Commercial Code of United State of America, vit tt l UCC): Hp ng l tng hp cc ngha v php l pht sinh t s tha thun ca cc bn. Vn bn Php in xut bn ln hai (Restatement 2nd) c nu mt nh ngha c th hn: Hp ng l mt hay mt tp hp cc cam kt m nu vi phm nhng cam kt ny th b buc phi thc hin bng s cng ch cu php lut, hoc ni cch khc php lut cng nhn vic thc hin nhng cam kt ny l mt ngha v. Trong Bch Khoa ton th v Php lut ca Hoa K cng c nh ngha hp ng: Hp ng l s tha thun gia hai thc th php l, to ra mt s rng buc ngha v nhm lm mt vic, hoc khng lm mt vic, giao mt vt xc nh [306, tr.53]. nh ngha ny th hin r rng hn bn cht v mc ch c bn ca khi nim hp ng v ni dung ca n cng c tnh hi nhp hn vi khoa hc php l ca cc quc gia khc trn th gii. Ti iu 2 ca Lut Hp ng Trung Quc (1999) qui nh: Hp ng theo qui nh ca Lut ny l s tha thun v vic xc lp, thay i, chm dt quyn, ngha v dn s gia cc ch th bnh ng t nhin nhn, cc t chc khc. Cc tha thun lin quan n quan h hn nhn, nhn con nui, gim h thch dng vi qui nh ca cc lut khc. Tng t, theo qui nh ti khon 1 iu 420 BLDS Nga (1994): Hp ng l s tha thun gia hai hay nhiu bn v vic xc lp, thay i, chm dt quyn, ngha v dn s. nh ngha hp ng trong Lut Hp ng Trung

12 quc tng i di, v bao hm c cc nguyn tc khi qut trong vic giao kt thc hin hp ng m ngi Trung Quc mun nhn mnh, l nguyn tc bnh ng gia cc bn tham gia hp ng. nh ngha hp ng trong BLDS ca Nga cng c ni dung tng t nhng cch din t khi qut v ngn gn hn c. A.L Makovsky v S.A. Khoklov bnh lun v nh ngha ny nh sau: Hp ng c nh ngha ngn gn mang tnh truyn thng. l s tho thun ca hai hay nhiu ngi v vic thit lp, thay i, hoc chm dt cc quyn v ngha v dn s (iu 420). Tuy nhin, v c bn khng c im g mi trong nh ngha ny. Quan trng trn ht, c s ca nhng tho thun nh th ny khng phi l ch cu mt bn, m l ch ca nhiu bn rng buc cc bn trong thc hin ngha v [325, tr. xciv]. iu 388 BLDS 2005 nh ngha hp ng nh sau: Hp ng dn s l s tho thun gia cc bn v vic xc lp, thay i hoc chm dt quyn, ngha v dn s. C th d dng thy rng, qui nh ti iu 388 BLDS Vit Nam (2005) cng gn ging nh qui nh ca Lut hp ng Trung quc (1999) v c bit l hon ton ging vi qui nh ti khon 1 iu 420 BLDS Nga (1994). Xt v bn cht, hp ng c to ra bi s tha thun ca cc bn, l kt qu ca qu trnh thng tho v thng nht ch gia cc bn lm pht sinh, thay i, chm dt cc quyn v ngha v i vi nhau, tr nhng quyn v ngha v m php lut c qui nh l khng th thay i hoc chm dt bng tha thun ca cc bn. Xt v v tr, vai tr ca hp ng, theo ngha hp, th hp ng l mt loi giao dch dn s, l mt cn c php l lm pht sinh, thay i, chm dt quan h php lut dn s. Nh vy, hp ng l phng tin php l cc bn to lp quan h ngha v. C th ni, nh ngha trn hm cha tt c du hiu mang tnh bn cht ca hp ng v th hin r chc nng, vai tr ca hp ng trong vic lm pht sinh, thay i, chm dt quan h php lut. nh ngha trn y ca BLDS 2005 c xem l hp l v thuyt phc nht Vit Nam t trc n nay v c ni dung ngn gn, chun xc; va mang tnh khi qut cao, phn nh ng bn cht ca thut ng hp ng, va th hin r vai tr ca hp ng nh l mt cn c php l (ph bin) lm pht sinh, thay i, chm dt quyn v ngha v (dn s) ca cc bn. y l nh ngha c hu ht cc lut gia ng tnh v chp nhn, tr ci ui dn s km theo [86, tr.57; 108, tr.38-41].

13 Tc gi cho rng, cn b t dn s km theo khi nim hp ng. Bi l, thut ng dn s va c th c hiu theo ngha rng, nhng cng va c th c hiu theo ngha hp. Theo ngha rng, khi nim dn s bao hm c cc lnh vc khc, nh lnh vc dn s, thng mi, lao ng, hn nhn, gia nh [15, iu 1]. Cn theo ngha hp, khi nim dn s ch c dng trong cc quan h dn s ( phn bit vi cc quan h php lut khc: hnh s, hnh chnh). Trong php lut t tng, t dn s cng c hiu theo ngha hp, nhm phn bit gia cc Ta dn s, Ta Kinh t, Ta lao ng Tr li khi nim hp ng dn s, cu hi t ra l, t dn s c ngha g khi c t km theo khi nim hp ng. V mt l ghch, t dn s c t v tr ny l nhm xc nh r ngha ca khi nim hp ng, nhm ch y l hp ng dn s ch khng phi l hp ng khc (thng mi, lao ng). Trong khi , khi nim hp ng dn s c qui nh ti iu 388 BLDS 2005 vi ch nh xem y khi nim chung c s dng ch mi hp ng, ch khng phi ch dnh cho ring hp ng dn s. Do vy, khng nn t t dn s ngay sau khi nim hp ng v d gy hiu lm, v khng cn thit. Tm li, nh ngha hp ng (dn s) ti iu 388 BLDS 2005 l chp nhn c. Tuy vy, m bo tnh chun xc ca thut ng ny, tc gi kin ngh Quc hi cn sa i iu 388 BLDS 2005 theo hng b hai t dn s km theo sau thut ng hp ng. 1.1.2. Bn cht ca hp ng Nh c th hin trong khi nim hp ng, bn cht ca hp ng c to nn bi hai yu t php l l s tha thun v s rng buc php l gia cc bn. 1.1.2.1. Hp ng l s tha thun gia cc bn Hp ng l mt giao dch c nhiu bn tham gia to lp s rng buc php l vi nhau da trn s cam kt, tha thun. Bi vy, mc d trong lut thc nh v trong l lun c nhiu nh ngha khc nhau v hp ng, nhng chung qui li, tt c cc nh ngha u th hin mt quan im nht qun l lun xem s tha thun gia cc bn l mt trong cc yu t th hin bn cht ca hp ng. Yu t tha thun va l ngun gc, va l c s nn tng to nn hp ng. Khng c hp ng no m khng do tha thun v khng c hp ng no c to ra m thiu yu t tha thun. Bi vy, c kin cho rng, yu t tha thun ca cc ch th l tin ca hp ng v c xem l tuyt i [239, tr.20].

14 Theo ngha thng thng, tha thun l nht tr, ng vi nhau sau khi bn bc [217, tr.1578]. Theo T in Bch khoa Vit Nam, tha thun l s nht tr chung c th hin ch khng c mt kin i lp ca bt c mt b phn no trong s cc bn lin quan i vi nhng vn quan trng v th hin thng qua qu trnh m mi quan im ca cc bn lin quan u phi c xem xt v dung ha. [93, tr.238]. Trn phng din php l, c th hnh thnh nn hp ng, php lut qui nh cc bn tham gia cng thng lng, trao i, bn bc i n s nht tr chung, da trn s ngh ca mt bn v s chp nhn hon ton ca bn kia. Nhng s tha thun vi t cch l mt yu t th hin bn cht ca hp ng cn c ngha tch cc hn, so vi cc khi nim thng lng, bn bc, ng . Nu khi nim thng lng hay bn bc dng ch qu trnh thng thuyt, giao dch gia cc bn v khi nim ng dng ch kt qu ca qu trnh , th khi nim tha thun y c hiu l ton b qu trnh, t s thng lng n s thng nht ch. l qu trnh dung ha gia ch cc bn, i t s ng ca tng bn, n s hip hay gp g ch ca hai hay nhiu bn khc nhau, nhm t c s nht tr chung, hay s ng thun gia hai hay nhiu bn . Bn cht ca s tha thun ca l kt qu ca s thng nht gia ch vi s by t ch ca mi bn, t trong mi lin h thng nht vi s ng thun tng ng ca mt hoc cc bn khc, to thnh s ng thun ca cc bn, nhm t mt mc ch xc nh. Bi th, c kin cho rng, tha thun l s trng hp mun ca cc bn v mt iu g m cc bn mong mun t c [257, tr.10]. Xt v ni dung, s tha thun khng ch l s nht tr, ng chung chung m cn phi c ni dung c th, mc ch r rng, tc phi xc nh c bn cht ca quan h hp ng m cc bn mun xc lp. Theo , cc bn phi thng nht v mc ch ca hp ng l chuyn giao mt vt hoc lm mt vic g c th. Nu mt bn th hin ch mun bn mt ngi nh m bn kia ch mun thu ngi nh th khng th c mt s hip . Hn na, nu cc bn ng cng nhau mua bn mt ngi nh, nhng khng nht tr c vi nhau v gi bn, thi im giao kt hp ng, thi hn giao nh, tr tin th hp ng cha chc c thit lp. Tuy vy, nhng tha thun thiu vng cc ni dung c th l chuyn ph bin trong thc t, v c th do cc bn s sut hoc c ng nhng iu khon nh vy.

15 Trong trng hp c tranh chp, nhng ni dung cn thiu s c ta n xem xt v p dng cc iu khon d phng ca php lut, hoc c th b tc thng qua vic gii thch hp ng. Hp ng c coi l hon thnh, nu cc bn tha thun c nhng ni dung ch yu. Hp ng c coi l cha hon thnh, nu thiu nhng ni dung ch yu m ta n khng th b tc c. Mt tha thun ch c coi l c gi tr php l, nu ni dung v mc ch ca n khng vi phm iu cm ca php lut v khng tri o c x hi. Ngoi ra, tha thun ch c th lm pht sinh hiu lc rng buc i vi cc bn nu tun th cc yu cu do php lut qui nh nh iu kin v ch th, iu kin v ni dung v mc ch, iu kin v s t nguyn, v iu kin v hnh thc hp ng trong trng hp php lut c qui nh. y gi l cc iu kin c hiu lc ca hp ng. Cc ni dung ny s c trnh by trong chng hai ca Lun n. Tm li, thng qua s tha thun cc bn lm nn hp ng, tc lm pht sinh, thay i, chm dt quyn v ngha v gia cc bn trong hp ng. V vy, tha thun va l tin lm nn hp ng, va l yu t c bn cho s tn hp ng. 1.1.2.2. Hp ng l tha thun to ra s rng buc php l gia cc bn Mt s tha thun khng phi l hp ng, nu khng to nn hiu lc rng buc gia cc bn. Bi vy, du hiu th hai th hin bn cht ca hp ng l s tha thun gia cc bn phi nhm to ra mt s rng buc php l, tc l sng to ra cc quyn v ngha v mi, ngoi nhng quyn v ngha v lut nh, hoc lm thay i hay chm dt cc quyn, ngha v y. Mt s tha thun mang tnh cht x giao hoc mt li ha danh d, nh li ha s tng qu nhn ngy sinh nht, hoc tha thun s n d tic nh bn, hay cng i n ti vi ngi khc cng khng phi l hp ng, v cc tha thun ny khng to ra s rng buc quyn v ngha v php l gia cc bn. S vi phm li ha danh d hoc cc cam kt mang tnh cht x giao nh trn c th lm cho ngi tht ha b mt uy tn, b d lun ch trch, nhng khng lm pht sinh trch nhim php l v khng th b p dng ch ti dn s nh trng hp vi phm hp ng. Trong x hi ngy nay, ngi ta cng s dng nhiu hnh thc cam kt mang tnh cht tha thun ni b trong mt khu vc dn c, mt n v hnh chnh, mt a phng cng lm mt vic hay cng thc hin mt cuc vn ng g ca a phng, n v. V d nh bn cam kt thc hin cuc vn ng ni khng vi tiu

16 cc gia cc nh gio vi lnh o ngnh gio dc, hay cam kt thc hin np sng vn minh th ca h gia nh vi chnh quyn a phng. Nhng cam kt nh vy cng mang tnh tha thun, nhng khng phi l hp ng, v khng lm pht sinh, thay i, chm dt quyn v ngha v dn s. Cc cam kt ny c th mang tnh rng buc, thm ch s vi phm cc cam kt y c th b p dng cc bin php cng ch (v mt o c) hay ch ti nht nh (nh cc ch ti hnh chnh), nhng s vi phm khng lm pht sinh trch nhim dn s trong hp ng. Cng c nhng tha thun t cc bn vo mt quan h ngha v lut nh, chng hn nh cc tha thun kt hn, tha thun v vic nui con nui. Theo qui nh ca php lut Vit Nam hin hnh, cc cam kt khng phi l hp ng. Quan im ca cc lut gia cng tha nhn y ch l nhng tha thun t nhn nhm tha nhn mt qui ch php nh, chp nhn thc hin cc ngha v lut nh sn, ch khng phi l hp ng [168, tr.59]. Tm li, mi hp ng u l s tha thun gia cc bn, nhng khng phi s tha thun no ca cc bn cng l hp ng [26, tr.96]. Ch nhng tha thun to ra mt s rng buc php l mi c coi l hp ng. Bi vy, s tha thun v s to ra mt rng buc php l l hai du hiu c bn to nn bn cht ca hp ng. Nghin cu bn cht hp ng l tin l lun xc nh cc iu kin c hiu lc (hay tnh hp php) ca hp ng, nguyn tc t do hp ng, gi tr php l ca hp ng, trnh t giao kt hp ng, thi im c hiu lc ca hp ng v cc vn php l quan trng khc ca ch nh hp ng, c bit l hiu lc hp ng. 1.2. KHI NIM HIU LC HP NG, HIU LC TNG I CA HP NG Hiu lc hp ng l vn mang tnh bn cht ca hp ng, v suy cho cng, cc bn thit lp hp ng l rng buc quyn v ngha v i vi nhau. Khi thit lp mt hp ng, ngi ta lun hng n vic to lp s rng buc php l i vi nhau v trng i bn kia cng thc hin ngha v pht sinh t hp ng, nhm tha mn cc li ch cc bn. Ni dung sau y lm r khi nim hiu lc hp ng. 1.2.1. Khi nim hiu lc hp ng Hiu lc ca hp ng i vi s tn ti ca hp ng c th c v ging nh l hi th hay linh hn i vi s sng ca con ngi. Mt hp ng khng c hiu lc cng c ngha l gia cc bn khng tn ti quan h hp ng. Tuy nhn thc

17 c tnh cht quan trng ca hiu lc hp ng l nh vy, nhng a ra mt nh ngha chnh xc v hiu lc ca hp ng, qu l iu khng d. Trong hu ht cc quyn T in Ting Vit v T in chuyn ngnh Lut Vit Nam hin nay (tr quyn T in gii thch thut ng Lut hc ca Trng i hc Lut H Ni) u khng c mc t hiu lc ca hp ng m ch c cc mc t khc gn vi n, nh hiu lc php lut ca di chc hay hiu lc ca cc vn bn php lut [92, tr.289; 225, tr.203-4]. Theo cc T in ny th hiu lc php lut (ca vn bn php lut ni chung) l tnh bt buc thi hnh ca vn bn, l gi tr php l ca vn bn, hoc (gi tr) p dng ca vn bn , th hin phm vi tc ng hoc phm vi iu chnh ca vn bn v thi gian, khng gian v v i tng p dng [225, tr.202; 287, tr.357-58]. Trong T in gii thch thut ng Lut hc c gii thch khi nim hiu lc ca hp ng dn s l gi tr bt buc thi hnh i cc ch th tham gia giao kt hp ng [241, tr.65]. Tuy ngn gn, nhng nh ngha ny cng phn nh c bn cht ca khi nim hiu lc hp ng. Tuy vy, ni hm ca nh ngha ny vn cha y , v nu gii thch r ra th cng c phn cha chnh xc. Bi l, hiu lc ca hp ng, hiu theo ng bn cht ca n, th khng ch l gi tr bt buc thi hnh m cn bao gm c vic sng to ra cc quyn v ngha v ca cc bn ch th tham gia hp ng. Gi tr bt buc thi hnh cn l c im chung ca nhiu loi giao dch php l khc, ch khng phi l c trng ring c ca hiu lc hp ng. Mt khc, trong nh ngha ny s dng cm t i vi cc ch th giao kt hp ng l c phn cha chnh xc. Bi v, ch th giao kt hp ng hoc ch th thc hin hp ng cha chc l ch th ca hp ng . y nu s dng cm t ch th tham gia xc lp v thc hin hp ng th ng hn v r ngha hn. Khi nim hiu lc hp ng cng khng c tm thy trong mt s t in ca nc ngoi bng ting Anh, nh quyn Orans Dictionary of The Law - 3rd ed. [334], A Oxford Dictionary of Law 5th ed. [329] hay quyn Dictionary of Law 4th ed. [307]. Tuy vy, trong quyn T in Bch khoa php lut Hoa K c a ra nh ngha v hiu lc (valid): Hiu lc l s rng buc; s cng ch php l [306, tr.203]. Trong quyn Black Law Dictionary 6th ed. ca Henry Campell Black cng khng nu khi nim hiu lc hp ng m ch nu khi nim hp ng c hiu lc nh sau: Hp ng m trong hp ng c y cc yu t php l th

18 c hiu lc nh php lut i vi cc bn. Khi mt hp ng c cng nhn c hiu lc th c s rng buc php l [299, tr.1550]. Nh vy, trn phng din gii thch thut ng, cc t in trn a ra khi nim hiu lc hp ng vi du hiu c trng c bn ca n l gi tr rng buc cc bn phi thi hnh nghim tc. Tuy vy, ch vi du hiu ny, cc khi nim v hiu lc hp ng trong cc t in trn vn cha phn nh y cc du hiu th hin bn cht ca hiu lc hp ng. Trong lut thc nh, khi nim hiu lc hp ng cng c qui nh trong cc vn bn php lut ca mt s quc gia. Chng hn, BLDS Php c qui nh: Hp ng c giao kt hp php c gi tr l lut i vi cc bn, ch c th b hy b trn c s c tha thun chung, hoc theo nhng cn c do php lut qui nh v phi c thc hin mt cch thin ch [19, iu 1134]. Theo qui nh ny, hp ng c hiu lc th c gi tr l lut i vi cc bn, c php lut tn trng v bo v, c cc bn phi tun th v thc hin hp ng mt cch nghim tc, c thin ch. Cc bn khng th hy b hp ng nu khng da trn ch t nguyn ca tt c cc bn hoc cc cn c do php lut qui nh. Trong lut thc nh Vit Nam, qui nh v hiu lc hp ng cng c tm thy trong mt s BLDS Vit Nam trc y. Theo iu 673 DLB 1931 v iu 713 DLT 1936-1939, cc hp c c kt lp theo php lut cng c hiu lc nh lut php i vi cc bn kt c. iu 687 DLSG 1972 cng c qui nh v hiu lc ca kh c, vi ni dung cng tng t nh iu 1134 BLDS Php. BLDS 1995 tng c qui nh v hiu lc hp ng nh sau: 1. Hp ng c giao kt hp php c hiu lc bt buc i vi cc bn; 2- Hp ng ch c th b sa i hoc hu b, nu c tho thun hoc php lut c quy nh [16, iu 404]. BLDS 2005 khng qui nh c th v hiu lc ca hp ng, m ch qui nh khi qut l: hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc [15, iu 405]. C th ni, qui nh ny khng th hin c bn cht ca khi nim hiu lc hp ng l gi tr php l rng buc i vi cc bn, m ch yu l xc nh thi im pht sinh hiu lc ca hp ng. Ngoi ra, ti iu 4 BLDS 2005 cng c qui nh chung v hiu lc ca cc cam kt dn s: cam kt, tho thun hp php c hiu lc bt buc thc hin i vi cc bn v phi c c nhn, php nhn, ch th khc tn trng.

19 Tm li, qua nghin cu kha cnh php l v t in ca khi nim hiu lc hp ng, chng ta thy c hai du hiu th hin bn cht ca n, l: (i) gi tr php l ca hp ng ging nh php lut; v (ii) hiu lc rng buc mang tnh cng ch nhm buc cc bn phi tn trng v thc thi y cc cam kt trong hp ng. Gi tr php l v hiu lc rng buc cc bn phi tn trng v thc hin ng hp ng l hai mt khng th thiu ca hiu lc hp ng. Trn c s nhn thc bn cht ca hiu lc hp ng, tc gi xin a ra khi nim hiu lc hp ng nh sau: Hiu lc hp ng l gi tr php l ca hp ng lm pht sinh cc quyn v ngha v ca cc bn tham gia, v gi tr php l rng buc cc bn tham gia hp ng phi tn trng v phi thi hnh nghim tc cc quyn v ngha v . V phng din l lun, vic nhn thc ng khi nim hiu lc hp ng l c s tip cn cc vn khc c lin quan n vic nghin cu qu trnh to lp, xc nhn gi tr php l v thc thi hp ng. Khi nim ny cng th hin r cc yu t quan trng mang tnh bn cht ca hiu lc hp ng, l sng to ra, lm thay i, chm dt cc quyn v ngha v gia cc bn; ng thi to ra s rng buc php l nhm bt buc cc bn tn trng v nghim tc thc hin cc quyn v ngha v . Khi bn v hiu lc ca hp ng, ngi ta thng nhn nhn hiu lc hp ng nhiu kha cnh: iu kin c hiu lc ca hp ng, thi im c hiu lc ca hp ng, hiu lc rng buc ca hp ng, v hiu lc tng i ca hp ng. Ba ni dung u s c ln lt trnh by trong cc chng 2, chng 3, chng 4 ca Lun n. Ni dung cui c trnh by trong mc 1.2.2. di y. 1.2.2. Hiu lc tng i ca hp ng Xt v phm vi ch th, hiu lc ca hp ng ch rng buc i vi cc bn tham gia. y l hiu lc tng i ca hp ng. Tuy nhin, trong php lut hp ng hin i, i khi hp ng cn c gi tr php l i vi mt s ch th khc. Thm ch c kin cn cho rng, hp ng c hiu lc p dng ngay c i vi ta n [227, tr.7]. 1.2.2.1. Hiu lc i vi cc bn trc tip tham gia Trong quan h hp ng thng c t hai bn hoc nhiu hn hai bn tham gia, gi l cc bn ch th hp ng. Cc bn ch th hp ng rt a dng, bao gm c nhn, php nhn, v cc loi ch th khc theo qui nh ca php lut.

20 Nh trnh by, bn cht ca hp ng l s tha thun nhm lm pht sinh, thay i, chm dt quyn v ngha v ca cc bn. Theo , trong quan h hp ng, quyn ca bn ny tng ng vi ngha v ca bn kia; quyn v ngha v ca cc bn trong hp ng thng i lp nhau mt cch tng xng. Thng th cc bn c th nhn danh chnh mnh trc tip xc lp, thc hin hp ng, hoc c th gin tip tham gia hp ng thng qua trung gian l ngi i din hp php. Tuy vy, ngi i din hp php khng phi l ch th ca hp ng m ch l ngi thay mt v nhn danh ch th hp ng xc lp, thc hin hp ng. Trong trng hp ny, quyn v ngha v trong hp ng khng c gi tr php l rng buc ngi i din (trc tip giao kt, thc hin hp ng) m ch c gi tr rng buc i vi ngi c i din. Ring i vi nhng hp ng mang tnh cht gia nhp th cc bn khng cn phi tham gia ngay t u, m c th t nguyn tuyn b gia nhp sau khi hp ng xc lp. Vic ch th tuyn b ch tham gia hp ng sau khi hp ng c xc lp v c s chp nhn ca cc bn c lin quan trong hp ng, th cng c xem l ch th, c quyn v ngha v trong hp ng k t thi im . V d: trong hp ng hp tc thnh lp t hp tc. Ban u, hp ng ch c k kt bi cc thnh vin sng lp t hp tc. Sau ny, nu c ngi mun gia nhp, th c th lm n xin gia nhp gi cho t hp tc [182, iu 7]. Khi c s ng ca a s t vin, th ngi tr thnh thnh vin ca t hp tc [15, iu 118], theo coi nh ngi xin gia nhp t hp tc mc nhin chp nhn ni dung hp ng hp tc m khng cn trc tip tham gia k kt hp ng. Nh vy, khc vi hiu lc ca php lut c gi tr bt buc chung i vi mi ngi trong x hi, hiu lc ca hp ng c gi tr rng buc trc ht v ch yu l i vi cc bn trc tip tham gia hp ng - nhng ngi t nguyn tha thun xc lp hp ng. S d hp ng ch c hiu lc rng buc i vi cc bn tham gia l v hp ng c to ra bng s tha thun ca cc bn, da trn nguyn tc t nguyn v t do ch. Bi vy, i vi cc bn t nguyn tha thun to lp hp ng th phi chp nhn s rng buc quyn v ngha v pht sinh t hp ng . Tm li, theo nguyn tc hiu lc tng i, hp ng c hiu lc rng buc ch yu i vi cc bn tham gia hp ng, tr nhng trng hp ngoi l sau y: 1.2.2.2. Hiu lc ca hp ng i vi ngi th ba l ngi k v php l

21 Khi nim cc bn hp ng khng phi ch dng ch ngi trc tip tham gia hp ng hoc ngi gin tip tham gia hp ng thng qua ngi i din hp php, m cc bn hp ng ni y cn bao gm c nhng ngi k v php l. Ngi k v php l khng phi l ngi th ba bn ngoi hp ng, m l ngi thay th t cch php l ca ch th hp ng tr thnh mt bn ch th ca hp ng , bao gm cc trng hp thay th ch th hp ng do chuyn nhng quyn hoc chuyn giao ngha v [15, cc iu 309-317], hoc do ci t cc php nhn [15, im a khon 1 iu 99 v cc iu 94-97], hoc do tha k ti sn c km theo vic thc hin quyn v ngha v [15, iu 634, 637]. Nhng t cch ca ngi k v php l c hai im khc bit so vi cc bn trc tip xc lp hp ng: + Mt l, theo qui nh ca BLDS 2005, c nhng loi ngha v m theo php lut hoc theo tha thun, ch th phi t mnh thc hin th khng th chuyn giao cho ngi k v php l (iu 424, khon 8 & 9 iu 374, iu 384, iu 385). V d: khi ngi y quyn hoc ngi c y quyn cht th hp ng y quyn chm dt (khon 4 iu 589); hay trong hp ng thu nh, khi bn thu cht m khng c ai cng chung sng th hp ng thu chm dt (khon 3 iu 499). Trong cc trng hp ny, tuy ngi tha k ca ngi cht khng k v php l i vi hiu lc hp ng, nhng li k v php l gii quyt hu qu php l ca vic chm dt hp ng. V d: i bi thng, i thc hin cc ngha v cha thc hin hoc i hon li cc khon thanh ton cn tha, sau khi tr i gi tr ca phn ngha v thc hin. + Hai l, s k v php l thng qua vic tha k tng qut hoc tha k c nh mt ti sn c th c km theo ngha v thch ng ca ngi tham gia hp ng, th ngi tha k ch phi thc hin ngha v trong phm vi gii hn ca gi tr phn di sn m mnh c hng [15, iu 637]. V nguyn tc, mt bn trong hp ng c th loi tr trong hp ng vic chuyn giao ngha v hp ng cho ngi tha k thc hin. Tuy nhin, cc bn hp ng khng th tha thun v qui nh trong hp ng iu khon chuyn giao ngha v trong hp ng cho ngi tha k thc hin, v iu ny tri vi nguyn tc hiu lc tng i ca hp ng, tr trng hp vic chuyn giao cho ngi k v php l nhng li ch gn lin vi ngha v hp ng. V d: khi hp ng thu nh ang cn hiu lc, bn cho thu nh cht li tha k ngi nh ang cho thu. Trng hp ny, ngi tha k c k v ton b cc quyn v ngha v ca hp ng thu nh.

22 Suy cho cng th s chuyn giao ngha v cng l mt hp ng v l s tha thun gia bn c ngha v vi ngi th ba giao ngha v cho ngi th ba thc hin, trn c s c s ng ca ngi c quyn. Bi vy, y cng c th c xem l ngoi l ca s k v php l, tc l tha thun to lp ngha v ngi th ba thc hin. Tuy vy, ngha v y khng phi l ngha v mi c to ra t hp ng m ch l ngha v c xc nh trc khi hp ng chuyn ngha v c thit lp. Mt khc, da trn ch ca cc bn trong hp ng, hiu lc tng i ca hp ng cng c s rng buc v nh hng ng k i vi ngi k v php l. l vic cc bn trong hp ng c th tha thun gii hn hiu lc ca hp ng i vi ngi k v php l, bao gm vic hn ch phm vi ngi c k v php l, hoc loi tr vic k v php l. iu ny c ngha, theo l thng thng, i vi ngha v c th chuyn giao c, th khi mt bn ch th khng cn tn ti do cht hoc do chuyn nhng ti sn hoc do ci t php nhn, th ngi th quyn s c k v php l tip tc thc hin hp ng, nu hp ng vn cn hiu lc. Nhng nu cc bn tha thun khng cho k v php l hoc hn ch phm vi ngi c k v php l, th khi t cch ch th ca mt bn chm dt, hp ng s c thanh l m khng chuyn giao cho ngi khc k v. V d: trong hp ng thu mua nh c thi hn thanh ton 15 nm, cc bn c tha thun ngi thu mua cht trc khi tr tin mua nh, th hp ng chm dt v ngi tha k ch c nhn li tin mua nh, sau khi tr tin thu. Do , nu ngi thu mua cht trc khi thanh ton xong tin mua nh, th ngi tha k ca h s khng c k v php l i vi hp ng thu mua ni trn. Nh vy, cam kt ny c hiu lc lm hn ch vic th quyn ca ngi k v php l, theo t cch k v php l ca ngi tha k b hp ng t chi. Tuy vy, trong trng hp ny, ngi tha k ca ch th hp ng vn k v php l i vi hu qu php l ca vic chm dt hp ng theo qui nh chung, nh yu cu thanh ton tin cn thiu, hoc hon tr khon tin c thanh ton tha, v cc hu qu vt cht khc. 1.2.2.3. Hiu lc ca hp ng i vi ngi th ba khng phi l ngi k v php l Mt trong nhng vn php l rt ng c quan tm l, liu mt hp ng do cc bn thit lp th c hiu lc i vi ngi khc, ngoi cc bn trc tip tham gia v ngi k v php l ca h, hay khng. Ni ngn gn, hp ng c hiu i vi ngi th ba ngoi cuc hay khng ?

23 Trc ht, nu ch hiu n gin hiu lc ca hp ng l gi tr php l th khi hp ng c lp theo th thc cng chng hoc ng k th hp ng c gi tr php l i vi ngi th ba. V d: hp ng bo m c ng k, th hp ng c gi tr php l i vi ngi th ba, k t thi im ng k [15, khon 3 iu 323]. Nu hiu hiu lc hp ng i vi ngi th ba theo ngha hiu lc rng buc phi thc thi quyn v ngha v pht sinh t hp ng, th vn ny khng c th hin r rng trong lut thc nh. V phng din lch s, xut pht t cu tc dao La Tinh: Res inter alios acta, aliis neque nocere, neque prodesse potest (mt hp ng c k kt gia cc bn thng khng lm hi ti quyn v li ch hp php ca ngi khc, nhng cng khng mc nhin lm li cho cc bn khc), cc lut gia theo quan nim c in xem hiu lc tng i ca hp ng nh l mt nguyn tc hin nhin. Tuy vy, theo GS V Vn Mu, nguyn tc y, i vi cc lut gia ngy nay, ch cn c mt gi tr tng i [168, tr.271]. Php lut hp ng hin i cho php c nhng ngoi l thu hp hoc ni rng hiu lc tng i ca hp ng [227, tr.6]. Theo , ngoi vic tha nhn nguyn tc hiu lc tng i ca hp ng (ch c hiu lc i vi cc bn tham gia), php lut cn chp nhn ngoi l: hp ng c hiu lc i vi ngi th ba trong trng hp cc bn c tha thun khc hoc php lut c qui nh khc, nhng l nhng trng hp chp nhn c iu kin. C hai trng hp hp ng c k kt cho ngi th ba c hng li: (i) K kt hp ng thay cho ngi th ba. l nhng trng hp mt bn trong hp ng tuy khng c t cch i din ca bn th ba nhng vn nhn danh bn th ba xc lp hp ng vi bn kia. y l trng hp vt qu phm vi i din, hoc khng c t cch i din. V nguyn tc, hp ng c giao kt trong trng hp ny ch c hiu lc i vi cc bn tham gia ch khng c hiu lc i vi ngi th ba. Tuy vy, hp ng ny vn c hiu lc rng buc i vi ngi th ba nu c hai iu kin [15, iu 145, 146]: mt l bn xc lp hp ng phi thng bo cho ngi th ba v c ngi th ba tuyn b chp nhn hp ng (i vi hp ng c k bi ngi khng c t cch i din), hoc ngi th ba bit m khng phn i (i vi hp ng c k vt qu phm vi i din); th hai, bn kia l ngi ngay tnh (khng bit v khng buc phi bit ngi k hp ng vi mnh khng c t cch i din hoc vt qu phm vi i din).

24 (ii) Hp ng v li ch ca ngi th ba. Khi hp ng c k kt ngi th ba hng li th c gi l hp ng v li ca ngi th ba. Hp ng v li ch ca ngi th ba l hp ng m cc bn giao kt hp ng u phi thc hin ngha v v ngi th ba c hng li ch t vic thc hin ngha v [15, khon 5 iu 406], chng hn hp ng bo him nhn th cho ngi c bo him l ngi th ba hoc ch nh ngi th ba th hng, hp ng vn chuyn giao hng cho ngi th ba (l bn mua hng ca bn thu vn chuyn), hp ng dch v chm sc khch hng, hp ng i l bo hnh sn phm hng ha C ba du hiu c trng ca ngi th ba c hng li ch t hp ng: Th nht, ngi th ba phi l nhng c nhn, t chc hoc nhng ch th hin ang tn ti v c nng lc php l th hng li ch m h c ch nh th hng. Cc ch th khng tn ti trn thc t (tr trng hp ngi thnh thai v sinh ra cn sng) vo thi im pht sinh quyn th hng, hoc khng c nng lc php l th hng quyn li th khng th tr thnh ngi th ba ca hp ng. Th hai, ngi th ba l ngi c xc nh r trong hp ng vo thi im hp ng c thnh lp. Vic xc nh y c th l ch r danh tnh hoc ch r cc tnh cht, c im xc nh hoc c th xc nh c vo lc thc hin quyn th hng ca ngi , hoc vo lc pht sinh ngha v ca cc bn ngi hng li ch. V d: trong hp ng vn chuyn hng ha c tha thun hng ha s c giao cho ngi c quyn s hu sau cng2 tnh n thi im giao hng. Th ba, cc li ch m ngi th ba c hng phi c xc nh r vo lc hp ng c xc lp. Hiu lc hp ng v li ch ca ngi th ba c th hin cc mt sau: + Ngoi hiu lc rng buc cc bn tham gia, hp ng v li ch ca ngi th ba cn rng buc cc bn phi thc hin hp ng mang n li ch cho ngi th ba. Theo , ngi th ba cng c quyn yu cu thc hin hp ng mang n li ch cho mnh [15, iu 419]. V d: hp ng bo him c k kt gia doanh nghip bo him vi ngi mua bo him ngi th ba c th hng li ch, th

Trng hp ny, tuy ngi c nhn hng khng c ch r danh tnh lc k hp ng, nhng c th xc nh c da vo c im: ngi c nhn hng sau cng, c vn n nhn hng vo thi im giao hng.

25 khi xy ra s kin bo him ngi th hng c quyn yu cu doanh nghip bo him tr tin bo him [148, khon 8 iu 3]. + Ngi th ba c quyn t chi nhn li ch t hp ng, tr trng hp vic t chi xm phm ti quyn v li ch hp php ca ngi khc. Nu trc khi hp ng c thc hin m ngi th ba t chi v s t chi ca ngi th ba l hp php th hp ng b coi nh hy b [15, iu 420]. Nu s t chi ca ngi th ba l tri php lut th hp ng c th vn c thc hin theo nguyn tc chung ca php lut. V d: bn bn k hp ng vn chuyn hng vi bn vn chuyn giao cho bn mua, nhng bn mua li t chi nhn hng hoc khng c mt nhn hng ti ni n m vic t chi hoc vic khng c mt khng thuc trng hp c php lut cho php, th vic giao hng do bn thu vn chuyn quyt nh: vic giao hng c th vn c tip tc thc hin bng cch gi hng vo ni gi gi v thng bo cho ngi mua bit v vic hng ha c giao v c gi gi theo ng qui nh ca php lut [15, khon 1 iu 376]. + Khi ngi th ba ng hng li ch th d hp ng cha c thc hin, cc bn giao kt hp ng cng khng c sa i hoc hu b hp ng, tr trng hp c ngi th ba ng [15, iu 421]. + Khi ngi th ba chp nhn hp ng c k kt v li ch ca mnh th ngi th ba vn phi c nhng ngha v nht nh t hp ng. V d: nu ngi th ba l ngi c bo him hoc c th hng quyn li bo him th h phi c ngha v thng bo v vic xy ra s kin bo him, tun th cc qui tc ca hp ng bo him khi tin hnh cc th tc hng li ch bo him; hoc trong hp ng vn chuyn hng ha cho bn th ba nhn hng th bn th ba phi nhn hng ng thi gian, a im, xut trnh vn n hp l, chu chi ph bc d hng Ni tm li, hiu lc ca hp ng i vi ngi th ba k v php l v ngi th ba khng k v php l c s khc bit c bn. Ngi th ba k v php l l ngi thay th v tr ca mt bn ch th hp ng c y cc quyn v ngha v hp ng, k t khi bn m h k v php l chm dt t cch ch th hp ng. Ngc li, ngi th ba khng phi l ngi k v php l l mt ch th c lp, khng c y cc quyn v ngha v ca ch th hp ng, nhng trong nhiu trng hp, ngi ny c th c hng nguyn tc song quyn [108, tr.65] ging nh ch th hp ng, ngay c khi ch th hp ng vn cn tn ti. Ngoi ra, h cn c nhng

26 quyn v ngha v ca ring mnh i vi mt hoc cc bn ca hp ng, m i khi ch th trc tip ca hp ng hoc ngi k v php l khng c cc quyn . 1.2.2.4. Hiu lc ca hp ng i vi ngi th ba l ch s hu ca i tng ca hp ng V nguyn tc, mt hp ng khng th lm thit hi cho quyn li ca ngi th ba. Mt khc, theo nguyn tc bo v quyn ca ch s hu, th khng ai c quyn xm phm n quyn chim hu, s dng, nh ot ti sn ca ch s hu (iu 164 v iu 169 BLDS 2005). Theo , cc bn khng c php xc lp cc hp ng i vi ti sn thuc quyn s hu ca ngi khc, nu khng c ch s hu cho php hoc ng . Tuy nhin, trong mt s trng hp ngoi l, php lut cho php hoc tha nhn ch th khc c quyn c xc lp cc hp ng chuyn giao cc quyn chim hu, s dng, nh ot ti sn thuc quyn s hu ca ngi khc, vi nhng iu kin v cn c php lut xc nh. l cc trng hp: (i) bo v quyn li ca chnh ch s hu ti sn. Theo qui nh ca php lut, ch c ch s hu mi c quyn t mnh chim hu, s dng, nh ot ti sn thuc quyn s hu ca mnh. Ngi khc ch c chim hu, s dng, nh ot ti sn ca ch s hu nu c ch s hu cho php, hoc ng , hoc phi c cn c do php lut qui nh. V d: bo v quyn li ca ch s hu i vi ti sn hoc hn ch nhng tn tht c th gy ra cho ti sn (m ch s hu hin khng trc tip qun l), php lut cng qui nh cho php bn gi ti sn c quyn bn ti sn gi gi ang c nguy c b h hng hoc tiu hy bo v quyn li ca bn gi (khon 3 iu 288, khon 4 iu 563 BLDS 2005). (ii) bo v quyn li ca ng s hu ch ti sn. i vi vic nh ot nh thuc quyn s hu chung (theo phn) m c ng s hu ch vng mt, th cc ng s hu ch ang qun l nh c th bn nh m khng cn phi c s ng ca ng s hu ch vng mt, nhng phi thc hin theo nhng trnh t, th tc nht nh: yu cu ta n c thm quyn tuyn b mt tch i vi ngi vng mt, sau bn nh thuc s hu chung v gi tin bn nh thuc phn quyn ca ngi vo ngn hng (iu 96 Lut Nh 2005, iu 57 Ngh nh 71/2010/N-CP ngy 23/6/2010 ca Chnh ph hng dn Lut Nh ). (iii) bo v quyn li ca ngi th ba ngay tnh. Ngi th ba chim hu khng c cn c php lut nhng ngay tnh c quyn khai thc, s dng, hng hoa li, li tc t ti sn theo qui nh ca php lut (khon 3 iu 194 BLDS 2005). Mt

27 khc, nu giao dch dn s v hiu m ti sn l i tng ca giao dch c chuyn cho ngi th ba ngay tnh, th ch s hu ti sn phi tn trng gi tr php l ca giao dch vi ngi th ba ngay tnh. Theo , ch s hu khng c quyn i li cc ti sn b ngi khc chuyn nhng cho ngi th ba ngay tnh (iu 138 BLDS 2005), tr cc trng hp c qui nh ti cc iu 257 v iu 258 BLDS 2005. (iv) bo v quyn li ca ch n khi ch s hu c tnh t chi thc hin ngha v tr n. Theo qui nh ca iu 46, iu 101 Lut Thi hnh n dn s (2008) v cc qui nh lin quan, nu bn phi thi hnh ngha v tr n theo quyt nh, bn n c hiu lc ca ta n, c quan nh nc c thm quyn m khng t nguyn thi hnh trong thi hn qui nh, th b cng ch thi hnh n. C quan thi hnh n c quyn ra quyt nh bn u gi ti sn dng thi hnh n theo qui nh ca Ngh nh 17/2010/N-CP ngy 04/3/2010 ca Chnh ph v Bn u gi ti sn. Khi hp ng bn ti sn u gi c xc lp, th ch s hu ti sn phi chuyn giao ti sn cho ngi mua u gi theo tha thun trong hp ng bn ti sn u gi gia bn bn u gi vi ngi c mua ti sn (iu 41 Ngh nh 17/2010/N-CP). Nh vy, hiu lc ca cc hp ng do ngi khc xc lp trong cc trng hp trn phi c ch s hu tn trng. C s php l buc ch s hu phi tn trng cc hp ng ni trn l nguyn tc hn ch quyn s hu - ch s hu thc hin cc quyn chim hu, s dng, nh ot i vi ti sn ca mnh khng c gy thit hi hoc lm nh hng ti li ch ca Nh nc, li ch cng cng, quyn v li ch hp php ca ngi khc (iu 165 BLDS 2005) v nguyn tc bo v quyn li ca ngi chim hu ngay tnh, cng nh bo v quyn v li ch hp php khc ca cc bn khc c lin quan. 1.2.2.5. Gi tr php l ca hp ng c cc ch th php l khc tn trng Ngoi vic to ra hiu lc rng buc cc bn tham gia v ngi th ba trong mt s trng hp nht nh nh va trnh by trn y, theo quan im ca nhiu lut gia, gi tr php l ca hp ng cn c hiu lc p dng i vi cc c quan ti phn v cc c quan nh nc c thm quyn khc trong vic thc hin cc hnh vi php l lin quan ti hp ng. Theo kin ca mt hc gi th ngoi hiu lc rng buc i vi cc bn, hp ng c hin lc ngay c i vi ta n [227, tr.7]. kin ny cng c nhiu hc gi khc ng tnh: khi gii quyt tranh chp hp ng, x l vi phm hp ng, ta n hoc trng ti phi cn c vo cc iu khon ca hp ng ra bn n hoc quyt nh cng bng, ng n [177, tr.23]; hoc: Nu trong hp ng, cc bn c nhng cam kt, tha thun c th v nhng ni dung c bn th s

28 ghi nhn c th trong hp ng l cn c php l ta n v cc c quan nh nc c thm quyn p dng khi gii quyt tranh chp [239, tr.23]. Lut thc nh Vit Nam tha nhn cc cam kt khng tri php lut v o c, th c Nh nc tn trng v bo h [154, khon 1 iu 11]. Hn na, gi tr php l ca giao dch dn s ni chung, hp ng ni ring, khng ch c hiu lc bt buc thc hin i vi cc bn m cn phi c c nhn, php nhn, ch th khc tn trng [15, iu 4]. Hiu rng ra, gi tr php l ca hp ng cn c bo m bi php lut nhm buc c nhn, php nhn, ch th khc phi tn trng. V d: cc c quan nh nc c thm quyn nh c quan ng k giao dch bo m, c quan cng chng, c quan ng k quyn s dng t v ti sn gn lin vi t phi tn trng hiu lc ca hp ng v phi thc hin cc nghip v php l cn thit theo qui nh php lut bo m cc hp ng c tn trng v thc thi nghim tc. Gi tr php l ca hp ng cn c hiu lc rng buc i vi ta n khi xt x cc tranh chp lin quan ti quan h php lut gia cc bn tranh tng. V d: iu khon ca hp ng v vic chn la c quan ti phn gii quyt tranh chp gia cc bn l ta n Vit Nam; iu khon chn la lut p dng gii quyt tranh chp hp ng l lut Vit Nam; iu khon xc nh trch nhim khi vi phm hp ng; iu khon min tr trch nhim l nhng iu khon m ta n phi tn trng, v c xem l cn c gii gii quyt tranh chp gia cc bn tham gia hp ng. Hn na, ta n cng phi tn trng v phi m bo rng, cc hp ng c thit lp hp php th c gi tr php l v c php lut tn trng v bo m thc hin. Khi gii quyt quyn li ca cc bn, ta n cn da trn cn c php l l qui nh c th ca cc iu khon trong hp ng, m khng c can thip mt cch ty tin vo hiu lc ca hp ng. Nu cn thit phi can thip vo hiu lc ca hp ng, ta n phi ch ra cn c php l c qui nh minh th, v cng ch c can thip trong gii hn m php lut cho php. Nu ni dung ca hp ng khng y th ta n cn p dng cc qui phm b khuyt ca lut lm cn c xem xt vic thc hin quyn v ngha v gia cc bn. Nu c nhng iu khon cha r rng, ta n cn gii thch hp ng, th ta n phi gii thch hp ng sao cho theo hng duy tr hiu lc ca hp ng hn l ph nhn hiu lc ca hp ng [15, iu 409]. C th ni, hiu lc tng i ca hp ng v hiu lc rng buc ca hp trong lut thc nh Vit Nam l vn phc tp v hin vn cn nhiu vn gy tranh ci. Nhng bt cp ca lut thc nh v vn ny s c bn n trong chng bn ca Lun n ny.

29 1.3. C CH PHP L IU CHNH HIU LC HP NG Hiu lc hp ng l vn php l rt phc tp v c quan h bin chng vi mi vn cn li ca php lut hp ng. Bi vy, vic iu chnh hiu lc hp ng khng ch bng mt vi iu lut m phi bng c mt c ch thch hp. l c ch php l iu chnh hiu lc hp ng. V mt l lun, vic nghin cu v hiu lc hp ng cng cn c t trong mi quan h mang tnh h thng vi c ch php l iu chnh hiu lc hp ng, v hiu lc hp ng chnh l phn ct li ca c c ch . Mc ny tp trung nghin cu khi nim v ni dung ca c ch php l iu chnh hiu lc hp ng lm c s l lun cho vic tip cn v lm r cc vn khoa hc v php l c t ra t vn hiu lc hp ng. 1.3.1. Khi nim c ch php l iu chnh hiu lc hp ng C ch iu chnh l mt khi nim khng mi trong khoa hc php l, nhng c ch php l iu chnh hiu lc hp ng l mt khi nim cha c tm thy trong cc ti liu khoa hc php l hin nay. C ch, theo ngha chung nht, l cch thc sp xp t chc lm ng hng, c s theo m thc hin [294, tr.464]. iu chnh, hiu theo ngha thng thng l xp t cho ng, cho hp l [294, tr.637]. Hiu theo ngha php l, iu chnh l s tc ng, bo v, khuyn khch, hn ch hay loi tr ca php lut i vi cc quan h x hi v hnh vi ca cc ch th trong x hi. Cn iu chnh php lut l vic nh nc dng php lut, da vo php lut iu chnh cc quan h x hi, tc ng theo nhng hng nht nh vo cc quan h x hi [277, tr.214]. Trn c s khi nim c ch v khi nim iu chnh php lut, GS. TSKH. o Tr c a ra nh ngha v c ch iu chnh php lut nh sau: C ch iu chnh php lut c hiu l h thng cc bin php php lut () c quan h mt thit vi nhau, tc ng ln nhau m qua thc hin s tc ng ca php lut ln cc quan h x hi [278, tr.209]. C ch php l iu chnh hp ng l mt loi c ch php lut c th trong mt lnh vc chuyn ngnh hp ca h thng php lut - ch nh hp ng. C nhn tc gi cho rng, c ch ny c xy dng t hai b phn cu thnh: cc gii php tc ng v cc nhn t m bo hiu lc rng buc ca hp ng. Cc gii php tc ng y c hiu l cc gii php mang tnh ti sn, da trn nguyn tc t do hp ng, nguyn tc thin ch, trung thc, hp tc, ch t

30 nguyn rng buc hp ng ca cc bn, l cng bng v tnh nghim minh ca php lut. Cc gii php tc ng cho php d liu cc ch ti mang tnh vt cht, kh nng la chn cch thc x s ca mi bn ch th trong hp ng phn khng li s vi phm ca bn kia, v quyn c php lut bo v chng li nhng bt cng c to ra bi hiu lc hp ng. Cc gii php c th hin ra bn ngoi thnh cc qui phm php lut nhm qui nh v hiu lc rng buc ca hp ng, hoc hn ch hiu lc rng buc hp ng, qui nh v trch nhim php l mang tnh cng ch hoc cc ch ti dn s, nh buc phi chu trch nhim bi thng thit hi, b pht vi phm nu c tha thun, gnh chu ri ro, pht li sut qu hn, buc phi gim gi, cho php bn c quyn hy b hoc n phng chm dt hp ng Cc nhn t m bo hiu lc rng buc hp ng l cc thnh t php l tham gia vo qu trnh thit lp v vn hnh c ch php l iu chnh hiu lc hp ng. Cc nhn t l: (i) cc qui phm php lut - l nhn t gi vai tr then cht - qui nh c s php l cho cc ch th khc tham gia vo qu trnh thit lp, thc thi hiu lc ca hp ng mt cch thun li v c hiu qu; (ii) cc bn ch th tham gia hp ng bng hnh vi v ch ca mnh t mnh thit lp, thc hin hp ng ph hp vi yu cu ca php lut, mt cch t do, trung thc v cng bng; v (iii) cc th thut php l c php lut s dng m bo hiu lc thc thi ca hp ng, k c vic cho php c s can thip ca ta n v cc c quan hu quan trong vic bo m hiu lc ca hp ng v cng bng x hi. T nhn thc trn, c th a ra khi nim v c ch php l iu chnh hiu lc hp ng nh sau: C ch php l iu chnh hiu lc hp ng l h thng cc nguyn tc, phng php, gii php c php lut s dng tc ng ti cc nhn t tham gia vo qu trnh xc lp, thc hin hp ng, nhm m bo cho hiu lc hp ng c tn trng v c thc thi mt cch cng bng v hp l. C nhiu loi c ch iu chnh hp ng. Da vo mc can thip ca nh nc i vi quyn t do hp ng, c: c ch kinh t ch huy vi s can thip su ca nh nc vo hiu lc hp ng (v d c ch iu chnh mang tnh ch tiu php lnh trong Php lnh Hp ng kinh t 1989 ca Vit Nam [214]); c ch t do th trng m c trng ca n l vic nh nc cao quyn t do hp ng v quyn t nh ot ca mi bn trong vic thit lp v thc thi hp ng (v d c ch t do hp ng trong lut hp ng c in cui th k XIX [40, tr. 13-5]); c ch kinh t th

31 trng c nh hng ca nh nc (v d quan im ch o v vic bo v quyn t do hp ng khi son tho BLDS 2005 [273, tr.17]). Xt v phng php tc ng ca nh nc vo quan h hp ng th c: c ch iu chnh cng qui nh v hiu lc bt bin ca hp ng, v c ch iu chnh linh hot cho php cc bn ch th c nhiu quyn la chn hn, nhng c s can thip linh hot (ca nh nc) vo hiu lc hp ng trong mt s trng hp cn thit; qui nh v cc ngoi l cho php cc bn c quyn yu cu iu chnh hiu lc hp ng, ng thi qui nh cc cn c php l v nhng gii hn c th p dng cc ngoi l . iu chnh hiu lc hp ng bng c ch th trng c nh hng ca nh nc v c ch iu chnh linh hot l xu hng ph bin v tin b ca php lut hp ng hin i. Tm li, c ch php l iu chnh hiu lc hp ng bao gm tt c cc gii php tc ng c php lut s dng nhm bo m s cng bng v an ton php l ca cc bn tham gia quan h hp ng, qua cng bo v trt t php lut trong vic iu chnh v hiu lc hp ng ph hp vi s tin b x hi v li ch ca nh nc. Mc ch ny cn c th hin tp trung trong ni dung ca c ch. 1.3.2. Ni dung ca c ch php l iu chnh hiu lc hp ng Ni dung c bn ca c ch php l iu chnh hiu lc hp ng l tp hp cc nguyn tc qui nh v cc gii php c th tc ng vo qu trnh xc lp, thay i v chm dt hiu lc hp ng. Ni dung ny th hin qua hai nguyn tc sau: (i) Nguyn tc tun th hp ng - pacta sunt servanda (hay cn gi l nguyn tc hiu lc bt bin ca hp ng). Pacta sunt servanda trong ting La Tinh, c th din t ngn gn l: ha th phi lm. nim v nguyn tc tun th hp ng - pacta sunt servanda (nguyn tc hiu lc bt bin ca hp ng, cn c dch l nguyn tc bt kh xm phm hp ng [208, tr.19]) cng gn ging nh ch tn trong quan nim Nho gio phng ng. y l nguyn tc c khi xng bi hc gi Grotius, tn tht l Rugo de Groot (1583 1645) - Nh c vn lut php, nh ngoi giao H Lan, tc gi ca quyn Code du Droit international public . Sau ny, trong Thng lut, nguyn tc hiu lc bt bin ca hp ng c xem l nguyn tc tn trng v bt buc thc thi ngha v pht sinh t cc cam kt t nguyn [308, tr.99]. Vi ngha , nguyn tc hiu lc bt bin ca hp ng c bit n nh l mt nguyn tc ph bin trong c cc lnh vc lut t, c bit l trong lnh vc php lut hp ng.

32 Nguyn tc hiu lc bt bin ca hp ng c th c chia thnh hai tiu nguyn tc.Tiu nguyn tc th nht lin quan n tnh bt bin ca hp ng. Mt bn k hp ng khng th n phng thay i hp ng. Vic thay i hp ng phi l nguyn chung ca cc bn.Tiu nguyn tc th hai l hp ng phi c tun th nghim tc. Mt hp ng c xc lp hp php th rng buc cc bn ging nh php lut. Cng theo nguyn tc hiu lc bt bin ca hp ng, hiu lc ca hp ng mang tnh n nh v khng th b hy b mt cch ty tin. Nu ch ca cc bn c thiu st v cn phi gii thch hp ng th hp ng c gii thch theo hng rng buc cc bn. C th ni, nguyn tc hiu lc bt bin ca hp ng l nguyn tc chnh ca c ch iu chnh hiu lc hp ng. ngha ca vic p dng nguyn tc ny l buc cc bn tham gia giao dch dn s, khi a cc cam kt hp php, th phi c trch nhim thc hin cc cam kt mt cch trung thc, cng bng v hp l [308, tr.118-9]. Vi ngha , nguyn tc hiu lc bt bin ca hp ng c th hin qua cc ni dung, gii php sau: - Khng nh hiu lc rng buc nh php lut ca hp ng bng cch a ra qui nh minh th v hiu lc ca hp ng: hp ng hp php th c gi tr lm pht sinh, thay i, chm dt cc quyn v ngha v ca cc bn; hp ng phi c cc bn tn trng v nghim tc thc hin theo ng yu cu ca nguyn tc thin ch. - Php lut bo v cc hp ng c xc lp hp php v buc cc ch th khc phi tn trng gi tr php l ca hp ng . - Qui nh cht ch cc iu kin c hiu lc ca hp ng, theo hng tha nhn cc iu kin c hiu lc ca hp ng phi phn nh ng bn cht ca hp ng v ph hp vi thc tin giao dch; coi trng ng mc yu t hnh thc ca hp ng: hnh thc hp ng l chng c chng minh s tn ti ca hp ng, v l iu kin c hiu lc ca hp ng nu c lin quan ti trt t cng cng v li ch ca nh nc; to kh nng cc hp ng tuy c lp khng ng hnh thc lut nh th vn c th c cng nhn bi cc c quan t php, nu cc iu nht nh. - Tng cng qui nh nhng iu khon b khuyt c th b sung cho cc hp ng c son tho c thiu st v ni dung, nhm to cn c php l cho ta n trong vic gii thch hp ng, b sung ch ng s tha nhn gi tr php l ca hp ng, lm cho cc hp ng c thiu st v ni dung c th tr nn c hiu lc.

33 - Qui nh c th v cc c ch giao kt, xc lp hp ng, thi im giao kt v thi im c hiu lc ca hp ng. ng thi, tng cng hiu lc hp ng, chng li nhng trng hp bi tn trong quan h hp ng, php lut cn qui nh cc c ch c th rng buc ngha v, trch nhim tin hp ng ca nhng bn tham gia m phn v dng xu, cnh tranh khng lnh mnh, gy thit hi cho i tc, xm phm nguyn tc trung thc, thin ch. - Tng cng k lut hp ng; qui nh ch ti c th v ngy cng a dng cho cc vi phm hp ng nhm rng buc bn khng thc hin, thc hin khng ng, khng y cc ngha v hp ng gnh chu trch nhim tng xng v bo v tha ng quyn v li ch hp php ca bn b vi phm. - Hn ch vic cho php hy b hp ng v nhng l do ch quan ca ch th. Hn ch vic sa i, n phng chm dt, hy b hp ng bng cch a ra c ch c th, vi cn c php l r rng, th tc cht ch, ch ti nghim minh x l cc trng hp vi phm nhm to ra c ch cc bn thc hin quyn t do hp ng; ng thi cng hn ch vic lm dng qui nh ny n phng chm dt hoc hy b hp ng mt cch ty tin v gii quyt tt hu qu php l khi xy ra tranh chp. - Qui nh cc c ch bo v ngi th ba ngay tnh khi hp ng b v hiu, qui nh thi hiu khi kin tranh chp hp ng mt cch r rng, hp l, ph hp vi thc t nhm n nh cc quan h hp ng trong giao lu dn s. Ni chung, nguyn tc hiu lc bt bin ca hp ng khng nh tnh cht rng buc ca hp ng, s bt bin v tnh n nh ca hiu lc hp ng, vi mc ch l bo v hiu lc hp ng. Hp ng c lp hp php th c hiu lc nh php lut i vi cc bn. (ii) Nguyn tc m bo cn bng li ch - rebus sic stantibus (nguyn tc nguyn trng bt bin).Nguyn tc rebus sic stantibus khng phi l vn mi m c bit n kh sm trong lch s php lut hp ng hin i. Ban u, nguyn tc ny c s dng trong cng php quc t, theo : i vi cc hip c c k kt gia cc quc gia, nu tnh trng lc kt c thay i sau ny, cc quc gia c quyn chm dt nhng hip c y. V sau, nguyn tc ny cn c nhiu hc gi xem nh l mt iu khon mc nhin trong ca hp ng [168, tr.253]. Thc tin cho thy, trnh s cc oan trong vic bo v tnh bt bin ca hiu lc hp ng, php lut nhiu nc cng nh cc B nguyn tc quc t v hp ng tip nhn nguyn

34 tc m bo cn bng li ch trong vic iu chnh hiu lc hp ng. Nn tng c bn v l lun v php l ca nguyn tc m bo cn bng li ch l nguyn tc thin ch, trung thc, hp tc v nguyn tc cng bng. Ni dung c bn ca nguyn tc m bo cn bng li ch c th c hiu l: sau khi hp ng pht sinh hiu lc, nu c s thay i ln v khng lng trc c v hon cnh thc t so vi thi im xc lp hp ng, th cc bn c th m phn li iu chnh cc ni dung c lin quan ca hp ng cho ph hp vi mong mun ca cc bn v l cng bng, thm ch l chm dt hoc hy b hp ng [208, tr.1920] m khng phi bi thng, nhm m bo s hi ho v li ch gia cc bn trong quan h hp ng. Nguyn tc m bo cn bng li ch cn l c s l lun cho php c quan c thm quyn c can thip vo hiu lc hp ng thng qua vic gii thch hp ng, hoc iu chnh ni dung ca hp ng trong cc trng hp hp ng c xc lp mt cch bt cng, xm phm quyn li ca ngi tiu dng hoc bn yu th, hoc xm phm ti trt t cng cng. Nh vy, vi ngha l c ch qui nh v cc gii php phng v nhm hn ch nhng nh hng cc oan ca hiu lc hp ng, ti lp s cn bng v li ch nhm bo m s cng bng cho cc bn tham gia hp ng, nguyn tc m bo cn bng li ch c th c din t bi cc ni dung, gii php sau: - Tha nhn v cao nguyn tc t do hp ng trong vic xc lp hp ng, la chn i tc, quyt nh ni dung hp ng, a ra cc tha thun khc vi php lut hoc ngoi php lut, nhng khng tri php lut to ra hiu lc rng buc hp ng hoc hy b hiu lc hp ng. - Tha nhn quyn ca cc bn c rt li ngh, tr li chp nhn ngh khi c cn c v iu kin c xc nh. Bi l, php lut tha nhn ch c nhn c quyn to ra s rng buc php l, nn ng nhin h cng c quyn rt lui khi hp ng: ngi ta c quyn t do giao kt hp ng th cng c quyn rt lui khi hp ng [40, tr.11-20]. Trong nhng trng hp c bit, php lut qui nh cho php mt bn c quyn rt li cam kt mc d hp ng c xc lp, v d nh trong trng hp doanh nghip bn hng ti nh theo qui nh ca iu 35 Lut s 7823 ca Cng ha Php v bo h v thng tin cho ngi tiu dng sn phm v dch v [208, tr.32 - 48; 227, tr.9]; hay qui nh trong BLDS ca Cng ha lin bang c v quyn c rt lui, hoc tr li hng ha trong nhng hp ng k kt trc ca

35 nh v cc hp ng tng t khc (Haustrgeschft: tn gi chung cho cc loi hp ng c k trc ca nh, ni lm vic ca ngi tiu dng, trn cc phng tin giao thng cng cng hay cc a im cng cng khc) [17, iu 312, 355 v 356]. - Qui nh c ch can thip ca ta n trong nhng trng hp cn thit khi hp ng c thiu st v ni dung, hp ng c lp bi bn mnh th vi nhng iu khon bt cng, lm dng s nh hng, xm phm quyn li ngi tiu dng, vi phm iu cm ca php lut, tri o c x hi, xm phm n trt t cng cng, thng qua vic cho php ta n c gii thch hp ng hoc tuyn b hp ng v hiu ton b hay mt phn. c bit, qui nh v nhng cn c v iu kin cho php ta n c quyn can thip hp l vo hiu lc hp ng, thng qua vic gii thch hoc sa i hoc tuyn b hy b cc iu khon hp ng bt cng trong cc iu kin giao dch chung, hoc cc hp ng mu [15, iu 407; 130, khon 5 v 6 iu 3]. - Tha nhn quyn t do hp ng trong vic a ra cc iu khon min trch nhim, gim trch nhim, loi tr trch nhim, hn ch quyn ca bn kia, hn ch lnh vc hot ng sn xut kinh doanh ca bn kia, mt cch cng bng, hp l, ngay tnh v khng vi phm quyn con ngi, quyn chng cnh tranh khng lnh mnh, quyn li ngi tiu dng. Khi quyn t do hp ng b lm dng xm phm ti trt t cng cng hoc quyn li ca bn yu th th ta n c quyn can thip v chnh sa cho ph hp. V d: tha thun v li sut trong hp ng vay vt qu 1,5 ln li sut qui nh th ta n c quyn sa li cho ph hp [15, iu 476], tha thun v mc pht vi phm trong hp ng cc hp ng thng mi khng qu 8% tnh trn gi tr ca phn ngha v b vi phm [154, iu 301]... - Cho php hon thc hin ngha v trong hp ng khi bn kia vi phm hp ng, thm ch cho php mt bn c quyn hy b hp ng trc khi xy ra cc vi phm (vi phm d on trc), khi c cn c v iu kin lut nh. V d: quyn hon thc hin ngha v trong hp ng song v [15, khon 1 iu 415]. - Khng thc hin hp ng m khng phi chu trch nhim bi thng thit hi trong trng hp bt kh khng, ri ro khch quan, hon ton do li ca bn c quyn. c bit, php lut hp ng hin i cn tha nhn cho mt bn trong hp ng c quyn yu cu ta n cho php iu chnh li ni dung hp ng, hoc chm dt hp ng khi xut hin nhng s kin khch quan lm mt s cn bng v quyn li mt cch nghim trng, vi nhng iu kin cht ch v c s hn ch ti a cc

36 trng hp c p dng. V d: iu khon v tnh th c bit kh khn (hardship clause) trong B Nguyn tc ca Unidroit v hp ng thng mi quc t [25, iu 6.2.2], hoc iu khon v s thay i hon cnh (change of circumstances) trong B nguyn tc lut hp ng Chu u [343, iu 6:111]. - D liu cc cn c php l c th lm chm dt hp ng mt cch t ng m khng cn thng qua cc th tc t php, v d ch th l c nhn cht hoc php nhn chm dt m quyn li v ngha v ca ch th khng th chuyn giao, i tng ca hp ng khng tn ti vo thi im xc lp hp ng [15, khon 5 iu 424]. Ni dung ct li ca nguyn tc nguyn trng bt bin l to ra c ch cho php iu chnh hp ng nhm m bo kh nng tt nht cho hp ng tn ti v tip tc c thc hin mt cch bnh thng, trn c s c s b p cho bn b thit thi nghim trng do s thay i hon cnh mang li, da trn nguyn tc cng bng. Theo , php lut nhiu nc cho php ta n c quyn sa i ni dung thc hin hp ng lc hon cnh kinh t bin ng mnh, nu vic lm tha mn tiu chun hp l, thin ch v cng bng [208, tr.20]. Tuy ni dung ca hai nguyn tc k trn c v i lp nhau, nhng hai nguyn tc nu trn khng tn ti bit lp m c quan h bin chng, tc ng qua li v b sung cho nhau. Theo mt hc gi, nguyn tc nguyn trng bt bin (rebus sic stantibus) tuy c tnh cht mu thun vi nguyn tc hiu lc bt bin ca hp ng (pacta sunt servanda), nhng y l hai nguyn tc thay th cho nhau, lun cng tn ti, v khng mt nguyn tc no tri hn nguyn tc no [49, tr.181]. Mt hc gi khc cng quan im ni trn khi cho rng, nguyn tc nguyn trng bt bin l nguyn tc va i lp, va b sung cho nguyn tc hiu lc bt bin ca hp ng, v cng l ngoi l ca nguyn tc hiu lc bt bin ca hp ng [208, tr.19]. Trong mi quan h bin chng , vai tr ca tng nguyn tc c xc nh nh sau: - Nguyn tc hiu lc bt bin ca hp ng l nguyn tc gi vi tr ch o, mang tnh quyt nh vi hiu lc hp ng. Vi mc ch m bo s n nh ca quan h php lut hp ng, bo m gi tr php l v hiu lc rng buc ca hp ng, gi gn s tn nghim ca php lut, thc hin ng yu cu ca nguyn tc t do, t nguyn, trung thc trong giao kt v thc hin hp ng, nguyn tc hiu lc bt bin ca hp ng cn c cao v xem nh l nguyn tc c bn ca c ch php l iu chnh hiu lc hp ng.

37 - Nguyn tc nguyn trng bt bin ca hp ng gi vai tr b sung quan trng, nhm bo v k yu, bo v s an ton php l ca cc bn trong cc hon cnh c s lm dng s nh hng, lm dng quyn lc kinh t v li th ca k mnh hoc trong cc hon cnh c bit khc, qua nhm m bo thc hin ng nguyn tc cng bng, hp l, trn tinh thn hp tc. Nhng nguyn tc ny ch l ngoi l, l gii php m, to s linh hot cho c ch php l iu chnh hiu lc hp ng; ng thi y cng ch c coi l c ch phng nga, nhm chng li s cc oan ca nguyn tc hiu lc bt bin ca hp ng, nhm to ra s cn bng v li ch ca cc bn tham gia hp ng. Vic p dng nguyn tc ny cn phi c gii hn trong nhng iu kin c th, r rng v phi c hn ch trong nhng trng hp lut nh. Trong lut thc nh Vit Nam hin hnh, c ch php l iu chnh hiu lc ca hp ng cng c th hin kh c th trong cc qui nh v iu kin c hiu lc ca hp ng, giao kt hp ng, thc hin hp ng, thay i v chm dt hp ng, cc bin php trch nhim do vi phm hp ng, s can thip ca c quan cng quyn vo hiu lc hp ng. Nhng c ch cha hon thin, cn bc l nhiu bt cp v hin nay t ra lc hu so vi yu cu ca i sng x hi. Trong , cc vn hiu lc hp ng b vi phm hnh thc lut nh, thi im giao kt v thi im c hiu lc, sa i hp ng do hon cnh thay i l nhng vn cn nhiu bt cp, cn phi c nghin cu, hon thin thm. Thc t x hi lun tn ti cc thnh phn ch th i din cho cc li ch khc nhau, vi tim lc v v th kinh t - x hi khc nhau. Nu php lut cho cc ch th t do tha thun bng ch c nhn lm pht sinh quyn v ngha v t rng buc mnh, m khng qui nh nhng c ch php l cn thit iu tit hi ha li ch gia cc bn, th s l iu v cng mo him. iu c th s to c hi bn mnh th i x bt cng i vi bn yu th, lm cho nhng ngi yu th trong x hi b cng b thit thi, nht l trong cc quan h hp ng gia ngi tiu th vi cc ch th kinh doanh c quyn trong cc lnh vc lin quan ti cc nhu cu thit yu ca x hi (nh cc dch v cung ng in hay cp, thot nc). Trong nhng hon cnh nh vy, php lut cn c qui nh thch ng bo v cc bn yu th. Nh Lacordaire ni: trong mi quan h gia mt bn yu th v mt bn mnh, ch s to ra s l thuc cn php lut s gii phng h. tng c bn y khng phi l ph nhn vai tr ca ch trong hp ng, m l trnh tuyt i ha

38 vai tr ca ch ca ch th [227, tr.8]. Do , khng th ph mc cho mi c nhn t bo v quyn t do ch ca mnh m cn phi c mt hnh lang php l an ton cho cc ch c pht biu ng bn cht t nguyn ch thc ca mi bn, trong mt mi quan h bnh ng v cng bng. cng l l do phi xy dng mt c ch php l tt iu chnh hiu lc hp ng. KT LUN CHNG 1 1. Ni dung mc 1 phn tch v thut ng hp ng v khi nim hp ng. Qua khng nh, khi nim hp ng c ghi nhn trong BLDS 2005 c ni dung ngn gn, nhng y v tng ng vi khi nim hp ng trong BLDS ca nhiu quc gia trn th gii. Tuy vy, vi tnh cht l thut ng php l chung nht ch khi nim hp ng ni chung, thut ng hp ng dn s c s dng trong BLDS 2005 l cha thch hp, v gy ra s phn bit khng cn thit v khi nim hp ng. T , cn thay i thut ng hp ng dn s bng thut ng hp ng. 2. Hiu lc hp ng l mt phm tr php l quan trng, nhng cc du hiu php l c trng ca khi nim ny cha c lm sng t, c v l lun cng nh thc tin php l Vit Nam. Ni dung mc 2 chng ny lm r ni hm ca khi nim hiu lc hp ng, v hiu lc tng i ca hp ng. y l tin l lun nghin cu, hon thin cc qui nh c th ca php lut Vit Nam hin hnh v hiu lc hp ng, trong cc phn sau ca lun n. 3. Hiu lc ca hp ng l vn php l rt phc tp, khng th ch qui nh trong mt vi iu lut l c th iu chnh ht c cc vn cn iu chnh. Tnh cht phc tp ca vn hiu lc hp ng c th hin trn ton b qu trnh, t khi thit lp n khi chm dt hp ng, to thnh mt c ch php l phc hp. Mc 3 ca chng ny lm r khi nim c ch php l iu chnh hiu lc hp ng. Ni dung ca c ch ny c th hin qua hai nguyn tc: nguyn tc hiu lc bt bin ca hp ng v nguyn tc bo m cn bng li ch gia cc bn tham gia hp ng. Tuy vy, c ch php l iu chnh hiu lc hp ng trong lut thc nh Vit Nam hin vn cha hon chnh. gii quyt vn ny, nh lm lut cn xy dng mt c ch php l thch hp qui nh ton b cc vn c lin quan ti hiu lc hp ng, trong sut qu trnh t khi xc lp n khi chm dt hp ng, nh: vic giao kt, thi im c hiu lc, iu kin c hiu lc, thc hin, sa i, chm dt hp ng v ch trch nhim do vi phm hiu lc hp ng...

39 Chng 2

IU KIN C HIU LC CA HP NG
iu kin c hiu lc ca hp ng l tng hp nhng yu cu php l nhm m bo cho hp ng c lp ng bn cht ch thc ca n. y l nhng iu kin cn v cng l tin php l nhm m bo cho hp ng c xc lp hp php v c hiu lc rng buc i vi cc bn. Trc khi BLDS 2005 c ban hnh, vn iu kin c hiu lc ca hp ng trong php lut Vit Nam c nhiu tc gi nghin cu kh y v ton din, trong c c cc ti nghin cu cp lun n tin s lut hc [44], [247]. Mt khc, vn ny hin cng c BLDS 2005 qui nh tng i hon thin, tr iu kin v hnh thc hp ng. Bi vy, mc 1 chng ny ch trnh by khi qut cc qui nh chung nht v cc iu kin bt buc hp ng c hiu lc. Mc 2 v mc 3 tp trung nghin cu cc vn l lun, php l v hnh thc hp ng, lm r bt cp v xut mt s gii php c th nhm hon thin cc qui nh ca php lut Vit Nam hin hnh v hnh thc hp ng. 2.1. CC IU KIN BT BUC HP NG C HIU LC Cc iu kin bt buc hp ng c hiu lc l nhng yu cu php l phi c tun th khi xc lp, giao kt hp ng m nu thiu cc iu kin th hp ng ng nhin v hiu hoc c th b v hiu. Tuy cch tip cn vn cn nhiu im khc nhau, nhng hu ht cc h thng php lut trn th gii u xem cc iu kin v ch th, ni dung v ch t nguyn ca cc bn tham gia hp ng l nhng yu cu php l bt buc phi tun th khi xc lp hp ng. Theo qui nh trong BLDS Php, hp ng c tha nhn l c hiu lc th phi tha mn bn iu kin ch yu (iu 1108): cc bn giao kt hp ng phi hon ton t nguyn (iu 1109-22); cc bn giao kt phi l ngi c nng lc (hnh vi dn s) giao kt hp ng (iu 1123-5); i tng v ni dung ch yu ca hp ng phi xc nh (iu 1126-30); mc ch, cn c ca hp ng phi hp php (iu 1131-3). BLDS c cng c nhng qui nh tng ng vi B lut Dn s 2005 trong vic qui nh cc iu kin xc lp giao dch: v nng lc giao dch php lut ca c nhn (iu 104 10), khng c thiu yu t t nguyn: nhm ln (iu 119.1), la di (iu 122), ni dung giao dch khng tri php lut v o c (iu 138)...

40 Theo lut Anh M, c hiu lc th hp ng phi tun th cc yu cu: (1) c s ngh; (2) c s chp nhn ngh; (3) li ch i ng (consideration); (4) cc bn phi c nh thc s mun giao kt hp ng; (5) cam kt chc chn v s tha thun hon chnh [324, tr.57-68]; hoc (6) phi tun th cc qui nh khc v: (a) cc bn phi c nng lc ch th giao kt hp ng, (b) khng thiu nhng yu t m thiu n c th lm cho hp ng b v hiu, b hy b, hoc khng c gi tr php l [312, tr.3-4]. V nguyn tc, mt hp ng c lp thiu mt trong cc iu kin trn th c th b xem l khng c hiu lc. Tuy vy, trong mt s trng hp ring bit, cc hp ng thiu yu t i ng c th c ta n cng nhn l c gi tr thc thi, v mt bn b tc quyn hy b hp ng, do ta n cn c vo thuyt khng c rt li li ni hay hnh vi cam kt (promissory estoppel) [301, tr.9-10] Xut pht t bn cht ca hp ng, php lut ca Vit Nam qui nh hp ng phi tun th cc iu kin bt buc: ch th hp ng phi c nng lc hnh vi dn s; ni dung, mc ch ca hp ng khng vi phm iu cm ca php lut, khng tri o c x hi; cc bn hon ton t nguyn. Sau y l cc iu kin c th: 2.1.1. Ch th tham gia hp ng phi c nng lc hnh vi dn s Ch th ca hp ng (hay ch th ca quan h hp ng) l nhng ngi tham gia xc lp, thc hin hp ng hp ng, c quyn, ngha v pht sinh t hp ng v phi chu trch nhim v vic thc hin quyn, ngha v pht sinh t hp ng . tham gia xc lp, thc hin hp ng, cc h thng php lut u qui nh ch th phi c nng lc ch th nht nh. Theo , yu cu v ch th tham gia hp ng c nng lc hnh vi dn s l mt trong nhng iu kin tin quyt hp ng c hiu lc. Php lut Vit Nam qui nh ch th tham gia giao dch dn s (hp ng) phi c nng lc hnh vi dn s [15, im a, khon 1 iu 122]. Cng theo cc qui nh ca BLDS 2005, ch th tham gia quan h hp ng bao gm cc c nhn, php nhn, h gia nh, t hp tc. Mt khc, nng lc hnh vi dn s tham gia xc lp, thc hin hp ng ca cc ch th khc nhau l khng ging nhau. i vi c nhn: T cch ch th ca c nhn khi tham gia vo hp ng ph thuc vo mc nng lc hnh vi dn s ca h. Theo qui nh ca BLDS 2005, c nhn c nng lc hnh vi dn s y th c t mnh xc lp, thc hin cc hp ng dn s (iu 19); ngi cha thnh nin t 6 tui n di 18 tui l ngi c mt phn nng lc hnh vi dn s th vic xc lp, thc hin cc hp ng ca h

41 phi c ngi i din theo php lut ng , tr giao dch nhm phc v nhu cu sinh hot hng ngy ph hp vi la tui hoc php lut c quy nh khc; c nhn t 15 tui n cha 18 tui c ti sn ring bo m thc hin ngha v th c th t mnh xc lp, thc hin giao dch dn s, tr trng hp php lut c quy nh khc (iu 20); ngi di 6 tui l ngi khng c nng lc hnh vi dn s v mi giao dch lin quan ti ngi ny u phi c xc lp, thc hin thng qua ngi i din hp php (iu 21); ngi b ta n tuyn b mt nng lc hnh vi dn s th phi c ngi gim h v mi giao dch lin quan u phi c xc lp, thc hin thng qua ngi gim h (iu 22); ngi b ta n tuyn b hn ch nng lc hnh vi dn s th cc giao dch lin quan ti ti sn ca h phi c s ng ca ngi i din theo php lut, tr cc giao dch phc v nhu cu hng ngy (iu 23). i vi php nhn, h gia nh, t hp tc: Php nhn l nhng t chc c cc iu kin c qui nh ti iu 84 BLDS 2005. Cc php nhn l ch th y ca quan h php lut dn s, c nng lc ch th mang tnh chuyn bit, c tham gia xc lp, thc hin cc giao dch ph hp vi mc ch v phm vi hot ng ca php nhn. Mc ch v phm vi hot ng ca php nhn c th hin trong iu l, hoc quyt nh thnh lp php nhn [15, iu 88]. H gia nh v t hp tc l ch th hn ch ca Lut Dn s. Hai loi ch th ny tham gia cc giao dch ph hp vi phm vi hot ng ca n. Phm vi hot ng ca t hp tc c th hin trong hp ng hp tc [15, iu 111]. Phm vi hot ng ca h gia nh do php lut qui nh [15, 106]. Php nhn, h gia nh, t hp tc l nhng thc th x hi ch khng phi l mt con ngi t nhin, nn nng lc hnh vi dn s ca cc ch th ny khng biu hin trc tip bng hnh vi v ch ca mt con ngi c th no , m c th hin bi chung ca cc thnh vin v c thc hin thng qua hnh vi ca ngi i din, nu hnh vi c thc hin nhn danh ch th, trong phm vi i din, v tng ng vi phm vi hot ng ca ch th [102, tr.207 10; 103, tr.278 81; 242, tr.44; 256, tr.147-9]. Nhn chung, c th xc lp, thc hin cc hp ng, ch th l c nhn phi c nng lc hnh vi dn s thch ng vi loi giao dch hoc loi hp ng m ch th tham gia. Php nhn, h gia nh, t hp tc xc lp, thc hin hp ng thng qua ngi i din hp php, nhng phi ng phm vi i din v phi ph hp vi gii hn v lnh vc hot ng ca cc ch th.

42 2.1.2. Ni dung, mc ch ca hp ng khng vi phm iu cm ca php lut v khng tri o c x hi BLDS 2005 tha nhn nguyn tc t do cam kt, tha thun (iu 4). Nhng bo v li ch ca nh nc, li ch ca cng cng, quyn v li ch hp php ca ngi khc, BLDS 2005 cng qui nh mt s trng hp hn ch quyn t do ca cc bn trong vic thit lp hp ng. Theo , ni dung v mc ch ca hp ng (giao dch dn s) khng c vi phm iu cm ca php lut v khng tri o c x hi (im b, khon 1 iu 122). Hp ng (giao dch dn s) c mc ch v ni dung vi phm iu cm ca php lut, tri o c x hi th v hiu (iu 128). Ni dung ca hp ng l tng hp cc quyn v ngha v ca cc bn ch th tham gia hp ng c th hin trong cc iu khon ca hp ng. Mc ch ca ca giao dch dn s (hay hp ng) l li ch hp php m cc bn mong mun t c khi xc lp giao dch [15, iu 123]. iu cm ca php lut l nhng quy nh ca php lut khng cho php ch th thc hin nhng hnh vi nht nh. V, []o c x hi l nhng chun mc ng x chung gia ngi vi ngi trong i sng x hi, c cng ng tha nhn v tn trng [15, iu 128]. Khi nim ni dung ca hp ng l mt khi nim rt rng. Thng th ni dung ca hp ng gm cc iu khon, nh: i tng ca hp ng l ti sn hay cng vic; s lng, cht lng ca i tng ; gi v phng thc thanh ton; thi hn, a im thc hin hp ng [15, iu 402]. Bt k iu khon no trong s vi phm iu cm ca php lut hoc tri o c x hi th hp ng cng b coi l v hiu. V d: trong Quyt nh Gim c thm s 18/2005/DS-GT ngy 22/6/2005 ca HTP TANDTC [262, tr.206], hp ng mua bn nh c xc lp gia ngi chuyn nhng (Vit Nam) vi ngi nhn chuyn nhng (ngi Vit Nam nh c nc ngoi, khng thuc din c php c quyn s hu nh ti Vit Nam), th b xem l v hiu v c ni dung tri php lut. hp ng c hiu lc th mc ch ca hp ng cng phi khng vi phm iu cm ca php lut v khng tri o c x hi. Hp ng c mc ch vi phm iu cm ca php lut th v hiu. V d: hp ng chuyn quyn s hu nh c mc ch l bn nh, nhng thc t hp ng li ghi l trao i nh (nhm mc ch

43 trn thu thu nhp chng hn) th b php lut cm [187, khon 2 iu 59], nn khng c hiu lc k t thi im giao kt. Hp ng cng khng c tri o c x hi. Mi x hi c quan nim ca mnh v o c, nn khng c o c chung m ch c o c x hi. Mc d khi nim o c x hi c nh ngha c th, r rng trong BLDS 2005, nhng phm tr o c th kh tru tng v khng phi l bt bin, i khi ph thuc rt ln vo nhn thc ch quan ca mi ngi. C trn phng din l lun v thc tin, vn nh th no l hp ng tri o c x hi, hin vn cn nhiu tranh ci. C quan im cho rng, qui phm o c l loi qui phm va mang tnh ch quan ca mi ngi, va mang tnh x hi v tnh giai chp su sc. Bn cnh , o c cn mang tnh dn tc v tnh hin i. Trong x hi hin i, quan nim x hi v o c c nng ln mt tm cao mi [224, tr.13 -17]. Hn na, thc t vn dng qui nh ny tuyn b hp ng v hiu trong tng trng hp c th, l iu khng n gin. Bi th, c nhiu kin cho rng cn thay khi nim o c x hi bng khi nim trt t cng cng cho r ngha, d xc nh ni dung hn khi p dng trn thc t, v cng ph hp vi thng l chung trn th gii v php lut ca nhiu nc khng qui nh v hp ng tri o c m thng qui nh l vi phm trt t cng cng (order public) hay chnh sch cng (public policy); mt khc, khi nim o c kh hiu nu a vo BLDS s gy tm l hoang mang cho cc ch th tham gia giao dch, dn n cc ch th hn ch tham gia mt s giao lu dn s [44, tr.29]. Tuy vy, tc gi cho rng nhn nh nh vy cng cha chnh xc. Bi l, php lut hp ng ca cc quc gia khng ch s dng thut ng order public hay public policy m cn s dng khi nim immoral (tri o c). V d: iu 1133 BLDS Php. Vic s dng cm t tri o c hay tri trt t cng cng khng ch l mt vn kh khn ca Vit Nam m cn l mt th thch i vi hot ng lp php v xt x ca ton cu, nh mt Gio s ngi c tng nhn nh: Cu hi ci g lm cho hp ng tri o c v tri php lut l mt cu hi c th nhn c nhiu cu tr li khc nhau t nhng h thng php lut khc nhau. iu khc bit ng ni l, bi v quan nim v o c ca cc quc gia khc nhau th khc nhau, v vic nh gi nhng gi tr truyn thng theo quan nim ca mi quc gia, vn cn ng mt vai tr quan trng [347, tr.382]. Thc tin php l Vit Nam cng cho thy,

44 php lut tng c qui nh hp ng khng c tri trt t cng cng hoc thun phong m tc, m in hnh l qui nh ti iu 10 DLB 1931 v iu 10 DLT 19361939: cc s kt c tri vi trt t cng cng v thun phong m tc u v hiu. Xt v bn cht, vic nh gi mt hp ng c tri trt t cng cng hay tri o c x hi th cng kh nh nhau, v y u l nhng khi nim kh tru tng v ty vo s thm lng ca tng thm phn. Khi nim o c x hi c tnh mm do, uyn chuyn hn, nhng cng kh tru tng v d b lm dng hoc d b t chi p dng hn so vi trt t cng cng. Ci kh nht ca vic xc nh tnh tri o c x hi l do khi nim va khng c th v nh lng, va khng r rng v nh tnh. iu ny cng kh khn ging nh vic ngi ta phn xt v hnh vi v tranh hay chp nh kha thn ca mt thiu n cho ngi khc xem. C ngi cho l ngh thut mang tnh nhn vn, nhng ngi khc li bo y l hnh nh i try, tri vi thun phong m tc. Thm ch, c nhng ngh s chp nh ngh thut tng sut b c quan nh nc c thm quyn truy t hnh s v cho rng vic chp nh ngi mu kha thn v lu gi hnh nh l hnh vi tri php lut, l truyn b vn ha phm i try [175]. ngha ca khi nim trt t cng cng tuy c xc nh r hn, nhng vic a khi nim trt t cng cng vo trong cc vn bn php lut cng gp nhiu tr ngi v c th gy ra s nhm ln, v php lut Vit Nam cng c qui nh khc v bo v trt t cng cng, vi tnh cht l bo v trt t tr an ca x hi. V d: theo iu 2 Ngh nh 38/2005/N-CP v cc bin php bo m trt t cng cng [191], th cc c quan, t chc v c nhn c trch nhim chp hnh nghim chnh cc quy nh ca php lut v bo m trt t cng cng; tn trng cc quy tc chung ca cuc sng x hi; pht hin, t co mi hnh vi vi phm php lut v trt t cng cng hoc xm phm quyn t do dn ch ca cng dn; tham gia, h tr cc c quan chc nng pht hin, ngn chn v x l cc vi phm php lut v trt t cng cng. Bi vy, khi nim trt t cng cng vi tnh cht l s gii hn ca quyn t do hp ng s c th b hiu nhm thnh trt t cng cng vi tnh cht l trt t tr an ca x hi. Theo tc gi, khng phi vic s dng khi nim o c x hi l tt hn hay khng tt bng khi nim trt t cng cng, m vn l khi chn s dng khi nim no th cng cn gii thch r v xc nh c th ni dung v phm vi p dng ca khi nim , trn c ba phng din: lp php, xt x v hc thut. Chng

45 ta cng c th thay khi nim o c x hi hoc trt t cng cng bng khi nim khc r rng hn, nh khi nim li ch cng cng, v c th gii thch c th v ni dung v gii hn p dng ca khi nim ny, nh mt lut gia tng gii thch: li ch cng cng c hiu l cc li ch lin quan ti: (i) cc quyn con ngi nh quyn c bo v tnh mng, sc khe, danh d, nhn phm; (ii) bo v l cng bng, bo v bn yu th hn trong hp ng nhm ngn nga nhng hp ng to ra s bt cng qu ng; (iii) bo v trt t th trng, trt t kinh t nhm chng li vic cnh tranh khng lnh mnh [166, tr.152]. y l cch gii thch hp l, c th tip thu v k tha khi lut ha khi nim ny trong php lut Vit Nam hin hnh. 2.1.3. Cc bn hon ton t nguyn trong vic giao kt, xc lp hp ng T nguyn xc lp, thc hin hp ng l vic ch th t mnh quyt nh l c tham gia hay khng tham gia vo hp ng theo nguyn vng ca c nhn mnh, m khng chu s chi phi hay s tc ng, can thip ch quan no t nhng ngi khc. Php lut i hi nhng ngi tham gia xc lp, thc hin hp ng phi hon ton t nguyn. T nguyn cn l nguyn tc php l c bn ca php lut dn s v php lut thng mi [15, iu 4; 154, khon 2 iu 11]. ch t nguyn ca ch th l mt du hiu thuc yu t ch quan, nu khng c biu hin ra bn ngoi, th ngi khc khng th bit c. C tc gi cho rng, t do ch v by t ch l hai mt ca t nguyn. T nguyn ngha l phi c t do ch, t do by t ch v phi c s thng nht gia ch vi s by t ch. Khng c t do ch v s by t ch hoc ph v tnh thng nht gia hai yu t ny, th s khng c s t nguyn [116, tr.7]. Theo quan im ca TANDTC, th ngi tham gia giao dch (hp ng) hon ton t nguyn c hiu l: cc bn tham gia giao dch hon ton t do by t ch, nguyn vng ca mnh, t nguyn tho thun vi nhau v cc ni dung ca giao dch m khng b la di, e do, cng p t pha bn kia hoc ca ngi khc; cc bn t nguyn tho thun cc vn nhm lm pht sinh, thay i, chm dt quyn, ngha v dn s ca mnh [265, tr.40]. Quan im ny cng th hin ng tinh thn ca BLDS 2005. Hp ng do ch th xc lp, thc hin khng t nguyn, th c th b v hiu hoc ng nhin v hiu. Nhng trng hp khng c s t nguyn l nhng trng hp m vic xc lp, thc hin hp ng khng ng ch ch thc ca ch th hoc khng c s thng nht gia ch ca ch th vi s by t ch ca chnh ch th

46 ra bn ngoi. Theo qui nh ca BLDS 2005, hp ng b coi l c xc lp thiu yu t t nguyn nu thuc mt trong nm trng hp sau y: (i) Hp ng gi to: l hp ng c lp ra nhng khng phn nh ng bn cht ca quan h ch thc gia cc bn, th hin vic cc bn xc lp hp ng che y mt giao dch khc hay mt hnh vi tri php lut ca mt hoc cc bn. Ni cch khc, hp ng gi to l hp ng m trong , vic th hin ch ra bn ngoi khc vi ch ni tm v kt qu thc hin ca cc bn tham gia [122, tr.280]. C hai dng hp ng gi to l hp ng gi cch v hp ng tng tng. Hp ng gi cch l hp ng gi to do cc bn lp ra che y mt hp ng khc nhm ln trnh php lut. c trng c bn ca hp ng gi cch thng l do c s thng ng gia cc bn lp cng mt lc hai hp ng (giao dch) khc nhau: mt hp ng (giao dch) tht v mt hp ng (giao dch) gi. Hp ng gi cch ch l hnh thc bn ngoi ch khng c gi tr i vi cc bn. Hp ng tht b che giu i, nhng mi l hp ng m cc bn mun xc lp, thc hin. Hp ng gi cch th ng nhin v hiu. Hp ng tht c th c cng nhn, nu tun th cc iu kin do php lut qui nh. V d: trong Bn n s 1701/2005/DS-PT ca TAND Tp. H Ch Minh ngy 08/8/2005: b n c k hp ng thu nh ca nguyn n, thi hn l 05 nm, gi thu l 20.000.000 ng/thng. Sau khi hp ng k kt, theo yu cu ca nguyn n, i bn k kt hp ng mn nh ti Phng cng chng nhm mc ch bn cho thu c li khi np thu cho Nh nc. Hp ng mn nh c cng chng l hp ng gi cch, c lp ra che y hp ng thu nh, nn b ta n tuyn x v hiu do gi to. Hp ng tng tng l hp ng khng c tht, do cc bn thng ng lp ra nhm hp thc ha cc th tc php l cn thiu st, hoc che y mt s tht khc tri php lut, hoc tri o c x hi. Ni cch khc, hp ng tng tng l hp ng mang tnh hnh thc, ch cc bn hon ton khng c nh to lp nn s rng buc php l vi nhau da trn ni dung ca hp ng . V d: trong Quyt nh gim c thm s 06/2006/KDTM-GT ngy 06/7/2006 v v n Tranh chp hp ng mua bn hng ha: B n mua m vng t ngi th ba, nhng do ngi th ba khng c t cch php nhn xut ha n gi tr gia tng. V th, b n k hp ng gi mua ca nguyn n 500 tn m vng vi tng gi tr hp ng l 4,2 t ng. Trn thc t, nguyn n khng giao hng m ch bn t cch php nhn,

47 bn ha n gi tr gia tng hng li. V vy, cp gim c thm nhn nh hp ng ny l hp ng gi to. (ii) Hp ng c xc lp do nhm ln: Nhm ln l s khng trng hp ch c th hin vi mong mun tht s ca ngi th hin ch [122, tr.283]. Hay ni c th hn, l vic mt hoc cc bn hnh dung sai v s vic, ch th, i tng hoc cc ni dung ca hp ng nn xc lp hp ng tri vi nguyn ch thc ca mnh. V d: ngi mua bo him tng l khi mua bo him th c hng tin bo him trong mi trng hp c ri ro, nhng thc t l iu khon bo him c nhng loi tr nn mt s loi ri ro s khng c bo him. Php lut Vit Nam ch chp nhn hp ng v hiu do nhm ln v ni dung ca hp ng. Hp ng b nhm ln v ni dung c th b v hiu theo qui nh ti iu 131 BLDS 2005. (iii) Hp ng xc lp do b la di: La di trong giao dch l hnh vi c ca mt bn hoc ca ngi th ba nhm lm cho bn kia hiu sai lch v ch th, tnh cht ca i tng hoc ni dung ca giao dch dn s nn xc lp giao dch [15, iu 132]. Biu hin ca s la di l hnh vi c cung cp thng tin sai s tht khin cho bn kia tin vo cc thng tin m xc lp hp ng bt li cho h hoc tri vi nguyn vng ch thc ca h. Php lut Vit Nam qui nh ba trng hp la di l la di v ch th, la di v i tng v la di v ni dung ca hp ng. Khi xem xt hnh vi la di, ta n thng khng ch da vo tnh cht c cung cp thng sai s tht ca mt bn m cn da vo hon cnh c th v kh nng nhn thc, hiu bit ca bn kia so vi mt ngi c nng lc nhn thc bnh thng. Vn c hay khng c s c cung cp thng tin sai s tht cng l vn gy nhiu tranh ci. Mt hnh vi cung cp thng tin sai s tht c hiu l mt bn c ni cho bn kia bit nhng thng tin v ch th, i tng, ni dung ca hp ng m nhng thng tin y l khng ng vi thc t khch quan, nhng mc sai bit ti u l la di, th c nhiu cch hiu. Theo UNIDROIT, mt s khoa trng trong qung co hoc trong m phn hp ng cha ti mc b coi l la di [25, tr.182]. Mt s im lng thng cng khng b coi l la di. Nhng nu bn cung cp thng tin c ngha v phi cung cp thng tin m vn im lng nhm mc ch b qua s tht th cng b coi l c la di, hoc ch t cng c li lm bn kia nhm ln giao kt hp ng [15, iu 131 - 132].

48 Hp ng giao kt do b la di c th b ta n tuyn b v hiu khi s la di do hnh vi c ca mt bn hoc ca ngi th ba gy ra v l nguyn nhn lm cho bn kia hiu sai lch v ch th, tnh cht ca i tng hoc ni dung ca hp ng m giao kt hp ng tri vi nguyn vng ch thc ca h. (iv) Hp ng xc lp bi s e da: e da trong giao dch l hnh vi c ca mt bn hoc ngi th ba lm cho bn kia buc phi thc hin giao dch nhm trnh thit hi v tnh mng, sc kho, danh d, uy tn, nhn phm, ti sn ca mnh hoc ca cha, m, v, chng, con ca mnh [15, iu 132]. S e da thng c hiu l vic mt bn c gy ra s s hi cho bn kia bng hnh vi bo lc vt cht hoc s khng b tinh thn, lm bn kia t lit ch hoc lm mt kh nng khng c nn xc lp hp ng tri vi nguyn vng ch thc ca h. (v) Xc lp hp ng trong lc khng nhn thc, iu khin c hnh vi: Ngi c nng lc hnh vi dn s nhng xc lp giao dch vo ng thi im khng nhn thc v lm ch c hnh vi ca mnh th c quyn yu cu To n tuyn b giao dch dn s l v hiu [15, iu 133]. Mt ngi bnh thng, vo thi im giao kt hp ng, trong tnh trng b bnh tm thn, bnh thn kinh ti mc khng nhn thc, iu khin c hnh vi ca mnh hoc ang s dng cht ma ty hoc cc cht kch thch khc dn n vic mt kh nng nhn thc tm thi th c xem l khng t nguyn xc lp, giao kt hp ng.Vn php l t ra l ngi ny phi chng minh c l vo lc xc lp hp ng, h ang trong tnh trng khng c kh nng nhn thc, iu khin c hnh vi ca mnh. C th ni rng, t nguyn giao kt hp ng l yu t c bn cc bn xc lp quan h hp ng [247, tr.31] v bn cht ca hp ng vn l s thng nht ch ca cc bn thng qua s tha thun t do v t nguyn. Do vy, hp ng xc lp thiu yu t t nguyn th ng nhin v hiu (nu c xc lp do gi to) hoc c th b v hiu (trong cc trng hp cn li). Tm li, cc yu t ch th, ni dung v mc ch, s t nguyn ca cc bn l nhng yu t quan trng gp phn vo qu trnh hnh thnh v tn ti ca hp ng. Nng lc hnh vi ca ch th l yu t nhm m bo ch th c t cch c lp t mnh xc lp, thc hin hp ng; ni dung v mc ch l nhng iu khon, cn c thc hin hp ng; t nguyn l yu t m bm cho hp ng c to ra ng ch ch thc ca cc bn. Bi vy, y l ba yu t php l quan trng c php lut qui nh l iu kin bt buc ca mi hp ng.

49 2.2. HNH THC HP NG - IU KIN C HIU LC CA HP NG TRONG TRNG HP PHP LUT C QUI NH Hnh thc l mt yu t php l quan trng ca hp ng, c quan h bin chng vi bn cht, ni dung, gi tr hiu lc, thi im c hiu lc ca hp ng, v l phng tin din t ch ca cc bn, cng nh chng minh s tn ti ca hp ng. Ngi ta s khng bit n s tn ti ca hp ng, nu n khng c th hin di mt hnh thc xc nh. Vi ngha , hnh thc ca hp ng c tha nhn v quy nh trong php lut ca hu ht cc quc gia [203, tr.177-83; 227, tr.64; 341, tr.73 -4], nhng cch th hin v vai tr ca yu t ny trong php lut hp ng cc quc gia l khng hon ton ging nhau. Cng v l m vn hnh thc v s nh hng ca n i vi hp ng tr thnh mt trong nhng ti gy nhiu tranh lun si ni trong gii khoa hc php l Vit Nam v trn th gii [43] [45] [68] [248, tr.43 -7] [320, tr.74 -5]. Mc ny trnh by cc vn : khi nim, cc hnh thc hp ng theo php lut Vit Nam v nhng nh hng ca hnh thc hp ng i vi hiu lc hp ng. 2.2.1. Khi nim hnh thc hp ng Nh phn tch chng 1 Lun n, hp ng l mt loi giao dch dn s, m bn cht ca n l s tha thun gia cc bn, v hp ng ch c th c to lp khi c s gp g ch gia cc bn. Cc yu t php l c bn to nn hp ng chnh l ch ca ch th, s biu hin ca ch ra bn ngoi v s thng nht gia cc yu t vi nhau. Trong , ch l ci bn trong, l nguyn vng, l mong mun ch quan ca ch th [217, tr.1127] m khng phi lc no ngi khc cng c th bit hay nhn thy c. Bi vy, c th t c s tha thun, tc l cc bn c th bit c v chp nhn ch ca nhau, ch th cn phi th hin ch ra bn ngoi di mt hnh thc khch quan nht nh. Cng nh vy, s thng nht ch ca cc bn v ni dung c th ca cc iu khon th hin s thng nht ch cn phi c cng b ra bn ngoi. chnh l hnh thc th hin ca hp ng. Theo ngha thng thng, hnh thc c hiu l ci bn ngoi, ci cha ng ni dung [294, tr.809]. gc trit hc, ni dung v hnh thc ca cc s vt, hin tng l cp phm tr c bn, th hin nhng yu t, nhng qu trnh to nn s vt v l phng thc tn ti v pht trin ca s vt [290, tr.244]. Cng nh cc s vt, hin tng khc ca th gii khch quan, hnh thc biu l ch ca cc bn trong

50 vic to lp hp ng thng c biu hin hai cp : hnh thc bn trong v hnh thc bn ngoi ca n [290, tr.245]. Hnh thc bn trong ca hp ng l s th hin ra bn ngoi ca cc quyn v ngha v ca ch th, di dng cc iu khon c th ca hp ng. Di gc ny, ch ca cc bn v s thng nht ch gia cc bn thng c pht biu di dng cc iu khon c th ca hp ng. Trong l lun php lut dn s v c trong lut thc nh, cc hc gi v cc nh lm lut thng ng ha cc iu khon c th ca hp ng vi ni dung hp ng [243, tr.98]. Cc iu khon qui nh quyn v ngha v ca cc bn trong hp ng li c trnh by, th hin ra bn ngoi di nhng hnh thc bng li ni, vn bn v theo nhng th tc nht nh nh cng chng, ng k. l hnh thc bn ngoi ca hp ng. Php lut ca hu ht cc nc khi qui nh v hnh thc hp ng, ch yu l ni n hnh thc bn ngoi ca hp ng. Ni dung phn ny ch nghin cu vn hnh thc bn ngoi ca hp ng. Trong khoa hc php l, hnh thc ca hp ng c nh ngha l cch thc th hin s tha thun gia cc bn [287, tr.363]. a s cc lut gia cng u hiu rng, hnh thc ca hp ng l nhng biu hin bn ngoi ca hp ng. C tc gi cho rng hnh thc ca hp ng l phng tin ghi nhn ni dung m cc ch th xc nh [243, tr.95], hoc hnh thc ca hp ng l phng tin ghi nhn, lu tr, chuyn ti ni dung ca hp ng [256, tr.348]. C tc gi cn cho rng hnh thc hp ng cn c biu hin qua phng thc k kt hp ng [68, tr.47]. C tc gi khc cn m t r hn: hnh thc ca hp ng khng ch l hnh thc th hin ni dung ca hp ng m cn l nhng th tc m php lut qui nh bt buc cc bn giao kt hp ng phi tun th khi giao kt mt s loi hp ng nh phi c xc nhn ca cng chng, chng thc, ng k hoc xin php [249, tr.48] v kin ny c cc tc gi khc ng tnh [108, tr.175 -6]. Nhn t gc chc nng v vai tr ca yu t hnh thc i vi s tn ti ca hp ng, ta thy hnh thc hp ng l s cng b ch ca cc bn tham gia hp ng, l cch thc truyn t thng tin gia cc bn tham gia hp ng cng nh vi ngi th ba v s xc lp v tn ti ca hp ng . Hnh thc ca hp ng cng l phng tin th hin ni dung c th ca hp ng. Theo ngha , hnh thc hp ng bao gm c th thc (cch thc th hin) ca hp ng v th tc to lp hp ng. Th thc ca hp ng l cch thc, phng tin th hin ni dung ca hp

51 ng di dng vt cht khch quan nht nh. Hp ng c th c th hin bng cc th thc nh li ni, vn bn, hnh vi c th. Cn th tc l th thut, cch thc tin hnh to lp hp ng theo mt trnh t, yu cu nht nh. V d: Hp ng bng vn bn c th c to lp bng cc th tc nh vn bn khng c ngi lm chng, vn bn c ngi lm chng, hoc vn bn c lp theo th tc cng chng, chng thc, ng k hoc xin php. Nh vy, hnh thc hp ng khng ch l cc th thc tn ti ca hp ng m cn bao gm c cc th tc to lp hp ng. Tm li, hnh thc hp ng l s biu hin ra bn ngoi ca ni dung hp ng, gm tng hp cc cch thc, th tc, phng tin th hin v cng b ch ca cc bn, ghi nhn ni dung hp ng v l biu hin cho s tn ti ca hp ng. 2.2.2. Cc hnh thc hp ng theo qui nh ca php lut Vit Nam Theo qui nh ca BLDS 2005, hp ng c th c lp bng mt trong 3 hnh thc l li ni, vn bn hoc bng mt hnh vi c th (khon 1 iu 124 v khon 1 iu 401) tr nhng trng hp php lut c qui nh hnh thc bt buc th phi tun theo hnh thc (khon 2 iu 124 v khon 2 iu 401). 2.2.2.1. Hnh thc bng li ni Hp ng bng li ni l nhng hp ng c giao kt di hnh thc ngn ng ni, bng li hay cn gi l hp ng ming. Theo , cc bn giao kt hp ng trao i vi nhau bng li ni, trc tip hoc thng qua in thoi, in m, gi thng ip in t bng m thanh (ting ni) din t t tng v mun ca mnh trong vic xc lp, giao kt hp ng. Tr nhng loi hp ng php lut qui nh hnh thc bt buc, cc hp ng u c th c lp bng li ni. Tuy vy, trnh trng hp cc bn lin quan ph nhn s tn ti ca hp ng, ch nn s dng hnh thc hp ng bng li ni giao kt cc hp ng c gi tr khng ln, vi nhng ngi thn quen c s tin cy ln nhau, hoc nhng hp ng c thc hin v chm dt ngay lp tc, nh hp ng mua bn tiu dng hng ngy (cc hp ng bn l), hp ng dch v thng thng trong i sng (vui chi, gii tr, sa cha nh, vn chuyn nhanh nh xe m, taxi). Thc tin php l cho thy, do vic giao kt hp ng bng li ni c u im l cch thc giao kt n gin, gn nh, nhanh chng v t tn km nn c s dng rt ph bin trong giao dch dn s, nhng t c s dng hn trong giao dch thng

52 mi. Cng v s tin li ca cch thc giao kt ny m trn thc t, c nhiu hp ng ng l phi c lp bng vn bn hoc bng vn bn c cng chng hoc chng thc (chng hn nh hp ng mua bn nh, hp ng thu bt ng sn), nhng gin tin, cc bn cng thng lp di hnh thc li ni, nn dn n nhng tranh chp rt kh gii quyt. V d: v n tranh chp v i ti sn trong Quyt nh GT s 25/2005/DS- GT ngy 16/9/2005 ca Hi ng thm phn, cc bn tha thun vic mua bn nh bng ming, nn gi tr php l ca hp ng khng c ta n tha nhn [262, tr.259 - 63]. Theo mt chuyn gia ca TANDTC, c ti 90% cc tranh chp v hp ng mua bn (m ch yu l mua nh t mi t cc) b v hiu v hnh thc [159, tr.1]. iu cng ni ln nhc im ca loi hnh thc ny l khng bo m s an ton php l cho cc bn, gi tr chng minh khng cao v d dn n tnh trng ph nhn ca cc bn v s tn ti ca hp ng nu cc bn khng cn bng chng khc chng minh v s tn ti ca hp ng . 2.2.2.2. Hnh thc hp ng bng vn bn Vn bn (truyn thng) l hnh thc ngn ng vit, c trnh by trn mt cht liu hu hnh nhm th hin mt ni dung xc nh m ngi ta c th c, lu gi v bo m c s ton vn ni dung . Khc vi hp ng bng li ni vn khng li bng chng (khu thuyt v bng), th hp ng bng vn bn m bo s th hin r rng ch cc bn cng nh ni dung ca tng iu khon hp ng m cc bn mun cam kt. Ngoi ra, hp ng bng vn bn cng c th tr thnh bng chng hu hiu khi cc bn c s tranh chp, v y l hnh thc c kh nng lu gi c trng thi gn nh nguyn vn, trong mt thi gian di. Bi vy, cc hp ng quan trng, hoc c gi tr ln, hoc c ni dung phc tp, hoc c thi hn thc hin lu di th thng c cc bn chn cch th hin bng vn bn. Thc tin php l Vit Nam c s phn bit gia cc loi vn bn cng chnh chng th v t chng th [165, tr.197-201]. Cng chnh chng th l vn bn c lp ti c quan cng quyn, theo th tc lut nh (chng nhn hoc chng thc), trc mt ngi c thm quyn (cng chng vin, ngi c thm quyn chng thc, hoc nhiu khi l quan ta, tha pht li, lc s, hoc c quan lnh s). T chng th l vn bn do c nhn hoc ngi i din ca h gia nh, t hp tc t mnh lp ra bng vn bn vit tay hoc nh my, c ch k hoc du vn tay ca ngi lp ra vn bn , c th c hoc khng c ngi lm chng.

53 Php lut Vit Nam hin hnh (nh Lut Cng chng 2006, Ngh nh 79/2007/N-CP ngy 18/5/2007) c qui nh c th v th thc, th tc lp cc loi cng chnh chng th, nhng li khng c nhng qui nh r rng, c th v cch lp t chng th, tr mt s trng hp c bit, nh di chc lp bng vn bn vit tay hoc vn bn nh ngi khc vit h trc mt nhn chng l c qui nh c th, chi tit [15, cc iu 649, 650, 652 v iu 653 656]. V phng din chng c, vn bn c cng chng, chng thc c tin cy cao hn so vi vn bn thng thng. Bi vy, trong thc tin, i vi nhng hp ng quan trng hoc c gi tr ln th ngi ta thng lp bng hnh thc vn bn c cng chng, chng thc. V nguyn tc, vic chn la hnh thc no k kt hp ng do cc bn tham gia hp ng quyt nh trn c s nguyn tc t do hp ng. Tuy vy, bo v trt t cng cng hoc v l do qun l nh nc, php lut thc nh hin hnh ca Vit Nam c qui nh v nhng hnh thc bt buc m hp ng phi tun th. Sau y l nhng th thc, th tc bt buc i vi mt s loi hp ng chuyn bit: (i) Nhng loi hp ng bt buc phi c lp bng vn bn - Cc hp ng dn s thng dng: hp ng mua bn ti sn thng qua u gi [15, Khon 2 iu 458]; hp ng y quyn trong trng hp php lut c qui nh [15, Khon 2 iu 142]; hp ng mua bn, hp ng trao i, hp ng tng cho ti sn c ng k quyn s hu (v d: xe my, xe -t v cc phng tin c gii ng b [252, iu 1]; tu thuyn khng gn ng c c ti trng ton phn t 1 tn tr ln hoc c gn ng c t 5 m lc tr ln hoc c sc ch t 5 ngi tr ln [144, Khon 1, 2, 3 iu 24]; chuyn quyn s hu tu bay [145, iu 30], tu bin [22, Khon 1 iu 15 v iu 32]), tr hp ng chuyn quyn s hu hoc chuyn quyn s dng nh th c qui nh ring; hp ng thu ti sn trong trng hp php lut c qui nh (nh hp ng thu tu bay [145, Khon 3 iu 35], thu tu bin [22, Khon 2 iu 139], thu nh di 6 thng [151, im a khon 3 iu 93]); hp ng dch v t vn php l [150, Khon 2 iu 26], dch v bo v [180, Khon 4 iu 3]; hp ng xy dng [156, Khon 2 iu 107]; hp ng bo him [15, iu 570; 148, iu 14]; hp ng vn chuyn hng ha theo chuyn bng ng bin [22, Khon 2 iu 71]. - Cc hp ng bo m: BLDS 2005 qui nh cc hp ng: dng mt ti sn bo m nhiu ngha v (Khon 2 iu 324), cm c ti sn (iu 327), th chp

54 ti sn (iu 343), hoc hp ng th chp tu bay [145, iu 32 ], tu bin [22, iu 32], t cc (khon 1 iu 358), bo lnh (iu 362) phi c lp bng vn bn - Cc hp ng thng mi: LTM 2005 cng rt coi trng hnh thc hp ng, nn nhiu hp ng thng mi u bt buc phi c lp bng vn bn: hp ng mua bn hng ha m php lut qui nh phi lp bng vn bn (khon 2 iu 24), hp ng mua bn hng ha quc t (khon 2 iu 27), hp ng dch v m php lut qui nh phi c lp thnh vn bn (khon 2 iu 74), hp ng dch v khuyn mi [iu 90], hp ng dch v qung co thng mi (iu 110), hp ng dch v trng by, gii thiu hng ho, dch v (iu 124), hp ng dch v t chc, tham gia hi ch, trin lm thng mi (khon 2 iu 130), hp ng i din cho thng nhn (iu 142), hp ng u thc mua bn hng ho (iu 159), hp ng i l (iu 168), hp ng gia cng (iu 179), hp ng dch v t chc u gi hng ho (khon 1 iu 193), hp ng mua bn u gi hng ha (iu 203), hp ng dch v qu cnh (iu 151), hp ng nhng quyn thng mi (iu 285) - Cc loi hp ng khc: hp ng hp tc v u t [140][185], hp ng chuyn giao quyn tc gi [15, iu 743; 152, iu 46], hp ng chuyn giao quyn lin quan [15, iu 749; 152, iu 48], hp ng chuyn giao quyn s hu cng nghip [152, iu 138], hp ng chuyn quyn s dng i tng s hu cng nghip [152, iu 141], hp ng chuyn giao cng ngh [134, Khon 1 iu 14] Qua ni dung va trnh by trn y cho thy, rt nhiu loi hp ng (hn 50 loi hp ng) c php lut qui nh phi tun theo hnh thc vn bn. C th ni, nhng hp ng m php lut qui nh bt buc phi lm bng vn bn l nhng loi hp ng c ni dung phc tp cn phi c th hin ra bng nhng iu khon c th, chi tit qu trnh thc hin hp ng c thun li, d dng hn v hn ch s tranh chp v quyn v ngha v ca cc bn giao kt hp ng. Thng thng, i vi cc loi hp ng ny, nh lm lut cn qui nh thm ni dung v cc iu khon c th ca hp ng nhm nh hng cho cc bn khi lp hp ng, to cn c php l cho vic thc hin hp ng v gii quyt tranh chp gia cc bn sau ny. (ii) Nhng hp ng bt buc phi c lp thnh vn bn c cng chng, chng thc, ng k hoc xin php Ngoi vic bt buc hnh thc hp ng bng vn bn, php lut cn qui nh mt s loi hp ng bt buc phi c lm theo th tc c bit, nh phi lp thnh

55 vn bn c cng chng, chng thc hoc phi ng k hoc xin php. Khon 2 iu 401 BLDS 2005 qui nh: Trong trng hp php lut c quy nh hp ng phi c th hin bng vn bn c cng chng hoc chng thc, phi ng k hoc xin php th phi tun theo cc quy nh .... Cc hnh thc, th tc bt buc gm: - Hp ng lp bng vn bn c cng chng hoc chng thc. Theo qui nh ca BLDS 2005, cc hp ng phi lp thnh vn bn c cng chng, chng thc, bao gm: hp ng hp tc (iu 111), hp ng mua bn nh (iu 450), tr trng hp php lut c quy nh khc;3 hp ng tng cho bt ng sn hoc ng sn c ng k quyn s hu (iu 466, iu 467); cc hp ng chuyn quyn s dng t phi c lp thnh vn bn c cng chng, tr cc hp ng chuyn quyn s dng t gia h gia nh, c nhn th c th la chn lp theo th tc chng nhn ti phng cng chng hoc chng thc ti y ban nhn dn x, phng, th trn ni c t (khon 2 iu 689). Trn c s , Lut t ai 2003 qui nh cc hp ng phi cng chng, chng thc v phi ng k gm: hp ng chuyn i quyn s dng t (im b khon 1 iu 126), hp ng chuyn nhng quyn s dng t ([im b khon 1 iu 127), hp ng cho thu quyn s dng t (im b khon 1 iu 128), hp ng th chp quyn s dng t (im a khon 1 iu 130), hp ng gp vn bng quyn s dng t (im a khon 1 iu 131). - Nhng hp ng phi ng k hoc xin php, gm: cc giao dch bo m qui nh ti khon 2 iu 323 BLDS 2005 phi c ng k theo qui nh ca php lut;4 hp ng cho thu nh, hp ng cho thu, gp vn, th chp v bo lnh bng quyn s dng t [15, khon 1 iu 705; 193, iu 149, 153 & 155], hp ng chuyn giao quyn s hu cng nghip [152, im a khon 3 iu 6 v iu 148] hp ng chuyn giao cng ngh [15, khon 2 iu 757], hp ng chuyn quyn s hu tu bay v cc quyn khc i vi tu bay [145, iu 28, iu 29 & iu 30] tu bin;

Theo qui nh ti khon 3 iu 93 Lut Nh 2005, th nhng hp ng v nh u phi c lp thnh vn bn c cng chng hoc chng thc ca UBND (i vi hp ng v nh ti nng thn), tr nhng hp ng v nh sau y th c lp bng vn bn: a) C nhn cho thu nh di su thng; b) Bn bn, bn cho thu nh l t chc c chc nng kinh doanh nh ; c) Thu mua nh x hi; d) Bn tng cho nh l t chc. Xem thm: iu 63 Ngh nh 71/2010/N-CP ngy 23/6/2010 ca Chnh ph. 4 Theo khon 1 iu 12 Ngh nh 163/2006/N-CP, Cc trng hp phi ng k bao gm: a) Th chp quyn s dng t; b) Th chp quyn s dng rng, quyn s hu rng sn xut l rng trng; c) Th chp tu bay, tu bin; d) Th chp mt ti sn bo m thc hin nhiu ngha v; ) Cc trng hp khc, nu php lut c quy nh; Theo qui nh ti khon 1 iu 64 Ngh nh 181/2004/N -CP ngy 29/10/2004 hng dn thi hnh Lut t ai, th cc hp ng th chp, hp ng bo lnh bng quyn s dng t phi c ng k theo qui nh ca php lut.

56 hp ng th chp tu bay [145, iu 32], tu bin [22, iu 35]; hp ng ch nh i l bn v ca hng hng khng nc ngoi [145, iu 125]... Nhn chung, cc hp ng chuyn nhng quyn s hu, quyn s dng hoc th chp c i tng l cc loi ti sn quan trng m vic chim hu, s dng ca n lin quan n an ninh quc gia, trt t cng cng hoc cc t liu sn xut quan trng c nh hng n nn kinh t quc dn u cn phi c s kim sot ca c quan nh nc c thm quyn hoc cng b v ghi chp trong s b ca cc c quan qun l nh nc trong lnh vc c lin quan. (iii) Thng ip d liu - mt dng c bit ca hnh thc bng vn bn Ngoi hnh thc vn bn truyn thng, php lut hin hnh Vit Nam cng tha nhn mt th thc tng ng vn bn, l thng ip d liu. Cc hp ng, giao dch bng hnh thc thng ip d liu c ghi nhn trong BLDS 2005 (khon 1 iu 124), LTM 2005 (khon 15 iu 3 & iu 15). Cc ni dung c th c qui nh trong Lut Giao dch in t 2005. Theo khon 1 iu 124 BLDS 2005, th Giao dch dn s thng qua phng tin in t di hnh thc thng ip d liu c coi l giao dch bng vn bn. Theo qui nh ti khon 15 iu 3 LTM 2005, th Cc hnh thc c gi tr tng ng vn bn bao gm in bo, telex, fax, thng ip d liu v cc hnh thc khc theo quy nh ca php lut. iu 15 LTM 2005 cng qui nh nguyn tc tha nhn gi tr php l ca thng ip d liu trong hot ng thng mi: Trong hot ng thng mi, cc thng ip d liu p ng cc iu kin, tiu chun k thut theo quy nh ca php lut th c tha nhn c gi tr php l tng ng vn bn. Theo qui nh ca Lut Giao dch in t 2005, thng ip d liu l thng tin c to ra, c gi i, c nhn v c lu tr bng phng tin in t (khon 12 iu 4). Mt khc, hnh thc ca Thng ip d liu c th c th hin di hnh thc trao i d liu in t, chng t in t, th in t, in tn, in bo, fax v cc hnh thc tng t khc (iu 10). Gi tr php l ca thng ip d liu c qui nh ti mc 1, chng 2 Lut Giao dch in t 2005. Theo , thng ip d liu khng b ph nhn gi tr php l ch v thng tin c th hin di dng thng ip d liu (iu 11), m n c gi tr nh vn bn nu thng tin cha trong thng ip d liu c th truy cp v s dng c tham chiu khi

57 cn thit (iu 12). Hn na, thng ip d liu cn c gi tr nh bn gc nu p ng c cc iu kin lut nh (iu 13), v c gi tr chng c (iu 14). Cng theo Lut Giao dch in t 2005, th Hp ng in t l hp ng c thit lp di dng thng ip d liu theo quy nh ca Lut ny (iu 33) v Gi tr php l ca hp ng in t khng th b ph nhn ch v hp ng c th hin di dng thng ip d liu. (iu 34). Nh vy, cng ging nh vn bn truyn thng, thng ip d liu mun c cng nhn phi p ng c nhng yu cu k thut v php l nht nh, sao cho bo m tnh nguyn gc (phn nh trung thnh vi bn gc khi to ln u tin) v s ton vn v ni dung thng tin (khng b sa cha, thay i, ct xn hoc a thm thng tin khc vo), c th lu tr v truy cp tham chiu khi cn thit Mc d php lut thc nh khng qui nh c th v ch k thng, nhng vi ngha l du hiu php l quan trng xc nh s tha nhn ca ch th i vi ni dung thng ip d liu c lp, ch k in t cng c ghi nhn trong Lut Giao dch in t 2005. Theo , ch k in t c tha nhn l ch k c gi tr nu c to lp di dng t, ch, s, k hiu, m thanh hoc cc hnh thc khc bng phng tin in t, gn lin hoc kt hp mt cch l gch vi thng ip d liu, c kh nng xc nhn ngi k thng ip d liu v xc nhn s chp thun ca ngi i vi ni dung thng ip d liu c k (khon 1 iu 21) v nu tha mn cc iu kin nh qui nh ti khon 1 iu 22. Ch k in t cn c qui nh chi tit ti Ngh nh 26/2007/N-CP ngy 09/6/2006 v thng mi in t. Ch k in t c ngha php l c bit quan trng, v qua xc nh c tc gi ca vn bn, th hin s tha nhn chnh thc ca ngi k i vi ni dung thng tin cha ng trong vn bn. Trong mi trng giao dch qua mng, vi cc bn khng lin quan hoc cc i tc l ngi l c t thng tin v nhau, th vn bn gc v s nhn dng ch k ca nhau trn cc vn bn in t ph thuc rt nhiu vo ch k in t. Bi l, vic s dng ch k in t ng ngha vi vic m ha ti liu c k kt. Do , ch k in t khng ch c ngha xc nh ngi k m cn chng minh cho tnh ton vn ca ni dung thng tin cha ng trong vn bn in t. C th ni, vic s dng hnh thc vn bn di dng thng ip d liu trong vic thit lp cc giao dch, hp ng c nhiu u im nh nhanh, gn nh, d lu tr, tit kim thi gian v chi ph thp, nn rt thch hp cho cc hot ng thng

58 mi, dch v. Tuy vy, do tnh cht v hnh v hnh thc biu hin ra bn ngoi ht sc c th, ch tn ti trong mt mi trng s, in t hoc khng gian mng, mc bo m an ton, s ton vn v ni dung ca cc giao dch i hi mt trnh k thut v s an ton nht nh, nn hnh thc vn bn in t khng thch hp cho mi loi giao dch. Do , Lut Giao dch in t 2005 b loi tr p dng i vi vic cp giy chng nhn quyn s dng t, quyn s hu nh v cc bt ng sn khc, vn bn v tha k, giy ng k kt hn, quyt nh ly hn, giy khai sinh, giy khai t, hi phiu v cc giy t c gi khc (iu 1). Ngoi ra, ti khon 3 iu 1 Ngh nh 57/2006/N-CP cng loi tr i vi cc trng hp c th khc: Cc quy nh ca Ngh nh ny khng p dng i vi vic s dng chng t in t l hi phiu, lnh phiu, vn n, ho n gi hng, phiu xut nhp kho hay bt c chng t c th chuyn nhng no cho php bn nm gi chng t hoc bn th hng c quyn nhn hng ha, dch v hoc c tr mt khon tin no . Nh vy, i vi nhng chng t xc nhn cc s kin c th lin quan n hoc gn vi quyn nhn thn ca c nhn, xc nhn quan h gia nh, cc ti sn c bit nh tin t, cc chng t chng minh nh giy t c gi, chng t chng nhn quyn s hu ti sn c th chuyn nhng c, th khng lp bng chng t in t m phi c lp bng vn bn truyn thng, c to nn t cht liu hu hnh v c nhng bin php k thut chng lm gi v chng sao chp, trong nhng trng hp phi xut trnh bn gc tham chiu hoc chng minh. 2.2.2.3. Hnh thc hp ng bng hnh vi c th Vi ngha l phng tin cng b ch ca cc bn hp ng, hnh thc ca hp ng cn bao gm c vic biu hin ch ca ch th ra bn ngoi bng mt hnh vi c th - l hnh ng, l x s c thc ca cc bn. Hnh vi c th l mt hnh thc th hin ca hp ng, hiu theo ngha hp. Bi l, vic tuyn b ch bng li ni hay bng ch vit, suy cho cng, cng u bng hnh vi ca con ngi. Tuy vy, hnh thc hp ng bng hnh vi c th c ni n trong trng hp ny khng phi c din t bng li ni hay ch vit m ch c th hin bng mt hnh ng thun ty. Thng thng, hnh thc hp ng bng hnh vi c th c s dng khi bn thc hin hnh vi giao kt hp ng bit r ni dung ca hp ng v chp nhn tt

59 c cc iu kin m bn kia a ra, v bn kia khng loi tr vic tr li bng hnh vi, hoc khng a ra mt yu cu r rng v hnh thc ca s tr li chp nhn. Hnh thc hp ng bng hnh vi c th c th hin ra bn ngoi kh a dng. Hnh vi c th thng c s dng xc lp cc hp ng thng dng, c thc hin ngay, v tr thnh thi quen ph bin ca lnh vc hot ng lin quan, ti ni giao dch c xc lp. V d: hnh vi mua bo hay mua v s ca ngi bn do hay mua hng ca ngi bn hng rong, hnh vi mua hng trong cc qun n t phc v, vi mn n t chn c lm sn Trong nhng trng hp ny, bn c hnh vi xc lp hp ng hiu r ni dung v cc iu kin ca hp ng, cn bn kia cng chp nhn cch thc giao dch bng hnh vi c th . Hnh thc hp ng bng hnh vi c th cng c s dng ph bin trong cc hot ng dch v dnh cho s ng i chng m bn cung cp dch v c qui ch hot ng r rng c cng b, hoc gia cc bn c s tha thun v vic mt bn chp nhn hnh vi c th ca bn kia nh l mt hnh thc giao kt, thc hin hp ng theo nhng qui c, nhng iu kin v php l v k thut m cc bn cam kt chp nhn. V d: hnh vi la chn hng ha v thanh ton tin khi mua hng ti siu th, hay mua hng qua my bn hng t ng, mua v trn xe but bng my bn v t ng, gi in thoi cng cng thanh ton bng th... Nh lm lut cng tha nhn v qui nh cc hp ng c giao kt bng hnh vi, kt hp vi cc nghi thc c bit khc do lut nh. V d: nghi thc g ba hoc rung chung trong hot ng bn u gi ti sn. Ngay sau khi c ngi tr gi cao nht, ngi iu khin phin bn u gi s nhc li ba ln gi tr m khng c ai tr gi cao hn (trong trng hp u gi tng dn), th ngi tr gi cao nht (nhng t nht phi bng gi khi im) l ngi c mua ti sn u gi. Php lut hin hnh cng tha nhn hp ng c xc lp bng hnh vi c th trong cc trng hp c bit, gi l hp ng thc t. Theo , hp ng thc t l nhng hp ng m hiu lc ca n pht sinh ti thi im cc bn thc t chuyn giao cho nhau i tng ca hp ng [243, tr.105]. V d: hp ng tng cho ti sn thng thng ti sn khng ng k quyn s hu (cng c kin cho rng c mt s trng hp, hp ng tng cho ti sn l hp ng ng thun [231, tr.11 -13]), hp ng mn ti sn [15, iu 512; 243, tr.192], hp ng cm c ti sn [15, iu 328] l nhng hp ng thc t. Trong cc hp ng ny, cc bn c th khng da trn li

60 ha hay vn bn c cam kt yu cu thc hin ngha v, v li ha hay vn bn cam kt xc lp hp ng cng khng c gi tr php l chng no cc bn cha giao nhn ti sn trn thc t. Hnh vi giao - nhn ti sn l hnh thc biu hin ch yu ca cc hp ng. Hp ng c hiu lc t thi im ti sn c chuyn giao t mt bn cho bn kia. Trong nhiu trng hp, khi mt bn bit r ni dung li ngh giao kt hp ng t pha bn kia v th hin ng xc lp hp ng bng mt hnh vi c th, chuyn tn hiu ng n cho bn kia bit, th hnh vi c th cng c coi nh hnh thc biu hin ca hp ng. V d: A hi mn xe ca B, tuy B khng tr li ng bng li ni hay vn bn, nhng B t mang xe n giao cho A, th hnh vi ca B giao xe cho A l hnh vi xc lp hp ng; hoc A mun gi xe cho B trng h v mang xe n ch ca B, nhng B khng tr li c th m ch gt u. Trong v d trc, hnh vi giao xe l hnh vi th hin r rng ch ca B. Trong v d sau, hnh vi gt u ca B, theo l thng thng, c th c hiu l s ng , tc hon ton chp nhn xc lp hp ng v minh th biu l thi khng phn i. 2.2.3. Mi quan h gia hnh thc hp ng vi hiu lc hp ng Trong qui nh ca php lut hp ng ca cc quc gia, php lut quc t v cc B nguyn tc hp ng quc t c lin quan, mt mc nht nh, u c cp ti vn hnh thc ca hp ng. Qua c th thy, vai tr ca hnh thc hp ng i vi hp ng, trong php lut ngy nay, l rt quan trng. Theo GS. V Vn Mu, yu t hnh thc ca hp ng ngy nay l mt di tch ca hnh thc ch ngha c t thi La M, khi m ring ch cha c nh lm lut coi l c hiu lc rng buc cc ng s trc php lut [169, tr.320]. L lun v thc tin php l v hnh thc hp ng ngy nay ca Vit Nam chng minh nhn nh l ng. Trn thc t, khi xc lp hp ng, nht l i vi cc hp ng lin quan n nh , t ai v cc bt ng sn, cc bn tham gia hp ng lun mun thit lp hp ng bng hnh thc long trng (vn bn cng chng), thm ch d lun x hi cho rng, ngi Vit Nam tng rt snh cng chng [2], [204].

61 Ta n Vit Nam t trc n nay cng tuyn x v hiu rt nhiu hp ng mua bn nh t c vi phm v hnh thc.5 Ti thi im son tho v chun b thng qua BLDS 2005, d lun x hi cng nh rt nhiu lut gia c kin ngh Ban son tho nn hn ch s nh hng ca hnh thc i vi hiu lc ca hp ng v iu c tc ng tch cc ti Ban son tho. Bng chng l vai tr ca yu t hnh thc i vi hiu lc hp ng trong BLDS 2005 b gim ng k so vi BLDS 1995.6 Nhng cng phi tha nhn rng, v phng din lp php, d mun hay khng, t hay nhiu, yu t hnh thc hp ng phi c xem trng ng mc nhm bo v trt t cng cng v n nh cc giao lu dn s; ng thi qua cng nhm bo v ng mc quyn li chnh ng ca cc bn tham gia hp ng. Bn v vai tr, ngha, s nh hng ca hnh thc hp ng trong khoa hc php l hin nay, cc tc gi cng c nhiu kin khc nhau. Theo mt tc gi th hnh thc hp ng c hai chc nng: (i) iu kin c hiu lc ca hp ng, v (ii) l bng chng giao kt hp ng [68, tr.48]. Mt tc gi khc cn cho rng, l do hn ch v hnh thc hp ng rt khc nhau, ty quan im ca mi quc gia. Nhng tu trung li c ba l do ch yu sau y: bo ton chng c; khng nh tnh nghim tc, tnh chc chn ca s th hin ch cc bn, v bo v trt t php lut, trt t cng cng [108, tr.178 -9]. Theo GS. V Vn Mu, vai tr ca hnh thc hp ng, theo kiu ca hnh thc ch ngha ngy nay c th tm tt trong bn im: (1) Cc hnh thc trng th c n nh cho mt s hnh vi quan trng, ct cc ng s ch trng c bit vic mnh sp lm; (2) Cc hnh thc chng c dn chng trc php lut (lut t tng trong trng hp ny ch chp nhn hai cch dn chng: chng th hp ng v s th nhn ca ng s); (3) Cc hnh thc cp-t-nng nhm m bo quyn nh ot ca nhng ngi cha hon ton c t cch ch th c lp t mnh xc lp cc giao dch dn s (V d ngi cha thnh nin t 15 tui n di 18 tui khi xc lp, thc hin cc giao dch lin quan n ti sn ca

Trc khi c Ngh quyt 01/2003/NQ-HTP v Ngh quyt 02/2004/NQ HTP, khi gii quyt tranh chp loi ny, HTP - TANDTC thng p dng cc qui nh ca BLDS 1995 tuyn x v hiu i vi cc hp ng vi phm v hnh thc. Vn ny c th xem thm: TAND TC, Tp Quyt nh GT ca TAND TC nm 2003 - 2004; Tp Quyt nh GT ca TAND TC nm 2005; Tp Quyt nh GT ca TAND TC nm 2006, do TAND TC n hnh ti H Ni, vo cc nm 2004, 2008. 6 So snh qui nh ca khon 2 iu 122 BLDS 2005 so vi iu 131 BLDS 1995, th vai tr ca yu t hnh thc c s suy gim ng k. Theo , hnh thc khng phi l iu kin bt buc ca mi giao dch dn s m ch l iu kin bt buc khi php lut c qui nh.

62 mnh [15, Khon 2 iu 20]); (4) Cc hnh thc cng b trong trng hp c lin quan n ngi th ba [169, tr.320 1]. Qua kho st thc trng php lut Vit Nam hin hnh, tc gi nhn thy yu t hnh thc ca hp ng cn nh hng n hp ng trn nhiu phng din khc na, nh: (1) th hin v cng b ch ca cc bn hp ng; (2) l c s xc nh thi im giao kt v thi im c hiu lc ca hp ng; (3) l iu kin c hiu lc ca hp ng nu php lut c qui nh; (4) hp ng c cng chng, chng thc hoc ng k th lm pht sinh gi tr php l i vi bn th ba; (5) hnh thc hp ng l bng chng cho s tn ti ca hp ng; (6) hp ng bng vn bn l phng tin din t chnh xc ni dung hp ng; (7) qui nh hnh thc hp ng cht ch cn gip hn ch sai lm ca bn thiu kinh nghim trc bn i tc l ngi hnh ngh chuyn nghip v gip h thn trng hn trc nhng tnh hung bt ng; (8) th hin s ng ca ngi i din i vi giao dch ca ngi c i din; hoc s ng ca ngi c li ch lin quan i vi giao dch c xc lp bi ngi khc khng c quyn hoc vt qu phm vi i din; l cn c xc nh t cch ch th giao dch hoc hp php ha cc giao dch c xc lp khng ng hay vt qu phm vi i din; (9) hnh thc ca hp ng cng nh hng n gi tr php l v s thc thi hp ng trn thc t, gip cho c quan nh nc quyn thc hin cc nghip v cn thit trong qun l nh nc, bo v trt t cng cng [101]. Xt ring mi quan h gia hnh thc hp ng vi hiu lc hp ng, th hnh thc ca hp ng c nh hng ti hiu lc ca hp ng trn ba phng din sau: 2.2.3.1. Hnh thc hp ng l iu kin c hiu lc ca hp ng, nu php lut c qui nh Mt trong nhng nh hng quan trng ca hnh thc i vi hiu lc hp ng l vic xem hnh thc hp ng l mt trong cc iu kin c hiu lc ca hp ng, nu php lut c qui nh [15, khon 2 iu 122]. Theo , hnh thc khng phi l iu kin c hiu lc ng nhin ca hp ng, m ch l iu kin c hiu lc ca hp ng khi php lut qui nh. Trong trng hp , c coi l hp ng hp php v pht sinh hiu lc, th hp ng phi c lp tun th cc iu kin lut nh, trong phi tun th ng qui nh v hnh thc hp ng. Khi php lut qui nh hp ng phi c lp theo mt hnh thc xc nh th cc bn phi tun th. Nu hp ng khng c lp ng hnh thc lut nh, th hp

63 ng b coi l vi phm iu kin v hnh thc. Hu qu php l ca hp ng b vi phm v hnh thc l hp ng cha c coi l hp php v c hiu lc. V d: php lut qui nh hp ng chuyn quyn s dng t phi c lp thnh vn bn c cng chng hoc chng thc [15, khon 2 iu 689]. Do , v nguyn tc, hp ng chuyn quyn s dng t cha c lp ng hnh thc do php lut qui nh th cha c hiu lc. Nhng hp ng b vi phm v hnh thc th cng khng ng nhin v hiu. Khi , cc bn c th yu cu ta n, hoc c quan nh nc c thm quyn quyt nh buc cc bn thc hin ng hnh thc trong mt thi hn; qu thi hn m khng thc hin th ta n tuyn b hp ng v hiu v gii quyt hu qu php l ca hp ng v hiu theo qui nh php lut: cc bn phi hon tr li cho nhau nhng g nhn, nu khng hon tr bng hin vt th phi hon tr bng tin..., bn no c li lm cho hp ng v hiu th phi bi thng thit hi cho bn kia theo mc li ca mnh [15, iu 134, 137, 401][198][199]. Thi hiu khi kin yu cu ta n, c quan c thm quyn khc xem xt hiu lc ca hp ng b vi phm hnh thc l hai nm, tnh t thi im xc lp hp ng [15, iu 136]. Nh vy, hnh thc ca hp ng trong trng hp ny l mt trong nhng yu t php l quyt nh hiu lc ca hp ng. 2.2.3.2. Hnh thc hp ng l c s xc nh thi im c hiu lc ca hp ng Cng v bn cht ca hp ng l s tha thun t nguyn v s gp g ch ca cc bn, nn khi cc bn tha thun xong ni dung ca hp ng th hp ng c thit lp. Tuy nhin, xut pht t nguyn tc th hin ch, ch khi ch th by t ch ra bn ngoi bng mt hnh thc khch quan nht nh, th mi c coi l quyt nh cui cng. i vi cc loi hp ng c lin quan n cc ti sn quan trng hoc lin quan ti trt t cng cng, php lut thng qui nh hp ng phi c lp di mt hnh thc trng th, nh vn bn, vn bn cng chng, chng thc, ng k (V d: xem mc 2.2.2.2. Lun n). ng thi vi qui nh bt buc v hnh thc th hin, php lut cng qui nh thi im giao kt hoc thi im c hiu lc ca hp ng da trn s th hin ch hon tt mt mc nht nh, th hin qua cc hnh thc cng b ch bng nhng biu hin c th ca hnh thc hp ng. iu 404 BLDS 2005: hu ht cc trng hp, php lut qui nh thi im giao kt hp ng u da vo hnh thc ca hp ng: (1) Hp ng bng li ni c giao kt vo thi im cc bn tha thun v ni dung ca hp ng; (2) Hp

64 ng bng vn bn c giao kt vo thi im bn sau cng k vo vn bn; v (3) Nu cc bn c tha thun im lng l s tr li, th hp ng c giao kt vo thi im ht thi hn tr li m bn c ngh vn im lng. Mt khc, theo qui nh ca BLDS 2005, hnh thc hp ng cng quyt nh thi im c hiu lc ca hp ng, nht l i vi nhng hp ng c hnh thc bt buc, hoc thi im c hiu lc ca hp ng trong trng hp php lut c qui nh khc. V d: hp ng tng cho bt ng sn hoc ng sn c ng k quyn s hu (iu 466), hp ng chuyn quyn s dng t (iu 692), chuyn quyn s hu tu bay [145, iu 30], tu bin; hoc th chp tu bin [22, Khon 2 iu 34 v Khon 2 iu 35], chuyn giao quyn s hu cng nghip [152, iu 148], hoc chuyn giao cng ngh [134, iu 19] l nhng hp ng c hiu lc vo thi im do php lut qui nh. Ngoi ra, nu cc bn tha thun hp ng phi c lp theo hnh thc vn bn cng chng, th hp ng c hiu lc khi c cng chng vin k tn v c ng du ca t chc hnh ngh cng chng (136, khon 3 iu 4). Thc tin php l cng cho thy, khi m phn hp ng, cc lut s t vn thng a vo bn cam kt hay tha thun s b iu khon hiu lc ca cc cam kt. Theo , cho n khi hp ng cha t c s hon chnh v mt hnh thc th hp ng cha c coi l giao kt [25, tr.110]. Nh vy, thc tin php l cng c nhng la chn v thi im giao kt hp ng da vo hnh thc, th tc nht nh. 2.2.3.3. Hp ng c cng chng, chng thc, hoc ng k th c gi tr php l i khng vi ngi th ba V nguyn tc, hp ng c lp bng vn bn khng c cng chng, chng thc th khng c gi tr i khng vi ngi th ba, v cc bn c th thng ng lp hp ng gi to nhm ln trnh php lut, hoc qua mt ngi th ba. V d: i vi nhng hp ng chuyn nhng ti sn c ng k quyn s hu, cc giao dch bo m, cc hp ng chuyn nhng ti sn ang cho thu, hoc ti sn ang c dng bo m, hoc mt ti sn c chuyn nhng cho nhiu ngi, hoc cc ti sn ang b tranh chp, hoc cc ti sn ang trong qu trnh x l ph sn doanh nghip, nu c th hin bng li ni hoc bng giy tay th khng c gi tr i khng vi nhng ngi th ba c lin quan. Trn c s bo v ngi th ba ngay tnh v li ch ca x hi, phng nga cc trng hp la o, tu tn ti sn, hp ng c gi tr i khng vi ngi th ba,

65 nh lm lut qui nh mt s hp ng phi tun theo nhng hnh thc, th tc nht nh: cng chng, chng thc hoc ng k. Cc hp ng c lp theo th tc chng thc, cng chng, ng k thng c gi tr tin cy cao v an ton php l. Khon 3 iu 4 Lut Cng chng 2005: Vn bn cng chng c hiu lc k t ngy c cng chng vin k v c ng du ca t chc hnh ngh cng chng. Gi tr ca vn bn cng chng cng c qui nh ti iu 6 ca Lut cng chng 2005: Vn bn cng chng c hiu lc thi hnh i vi cc bn lin quan; trong trng hp bn c ngha v khng thc hin ngha v ca mnh th bn kia c quyn yu cu To n gii quyt theo quy nh ca php lut, tr trng hp cc bn tham gia hp ng, giao dch c tho thun khc (khon 1) v Vn bn cng chng c gi tr chng c; nhng tnh tit, s kin trong vn bn cng chng khng phi chng minh, tr trng hp b To n tuyn b l v hiu (khon 2). Theo , cc hp ng c lp thnh vn bn cng chng th c gi tr i vi cc bn, vi nhng ngi khc c lin quan, c cng nhn c gi tr chng c v khng cn phi chng minh, tc c gi tr i khng vi ngi th ba. Cc hp ng c chng thc ti c quan nh nc c thm quyn cng c gi tr php l tng t. Cng nh vic cng chng, chng thc hp ng, vic ng k hp ng c ngha nh l s cng b chnh thc hp ng v vic ny c xc nhn bi c quan cng quyn. Bi vy, ngoi gi tr php l i khng vi cc bn tranh chp khc, vic ng k hp ng cn c mc ch nhm trnh s xung t v quyn, li ch hp php, quyn u tin thanh ton gia cc bn, cng nh bo v ngi th ba ngay tnh. V d: khon 3 iu 323 BLDS 2005 qui nh Trng hp giao dch bo m c ng k theo quy nh ca php lut th giao dch bo m c gi tr php l i vi ngi th ba, k t thi im ng k, v theo qui nh ti Ngh nh 163/2006/N-CP ngy 29/12/2006 ca Chnh ph, th vic th chp quyn s dng t; Th chp quyn s dng rng, quyn s hu rng sn xut l rng trng; Th chp tu bay, tu bin; Th chp mt ti sn bo m thc hin nhiu ngha vl nhng trng hp phi c ng k (iu 11 khon 1 v iu 12 khon 1). Nh vy, c ngi th ba tha nhn v tn trng gi tr php l, cc giao dch bo m phi c lp thnh vn bn v phi c ng k, nu php lut c qui nh nh cc trng hp va nu. Thng qua vic ng k, cc bn trong hp ng thng tin cho ngi th ba bit v ti sn dng lm i tng bo m c s

66 dng vo vic bo m. Mi giao dch v ti sn sau thi im ng k giao dch bo m u khng c gi tr php l, hoc c th t u tin km hn so vi bn ng k giao dch bo m trc . Tm li, hp ng khng tun hnh thc, th tc lut nh c th khng lm hp ng mt hiu lc rng buc i vi cc bn, nhng khng c hiu lc i khng vi ngi th ba trong trng hp c xung t li ch vi ngi th ba. 2.3. MT S BT CP TRONG CC QUI NH PHP LUT HIN HNH V HNH THC HP NG V NH HNG HON THIN 2.3.1. Mt s bt cp trong php lut v thc tin p dng cc qui nh php lut hin hnh v hnh thc hp ng Vn hnh thc hp ng c qui nh trong cc phn khc nhau ca BLDS 2005, bao gm cc qui nh v hnh thc ca giao dch dn s phn chung ca B lut, hnh thc ca hp ng trong phn chung ca ch nh hp ng, cc qui nh trong cc hp ng chuyn bit v cc lut chuyn ngnh c lin quan. Qua nghin cu cc qui nh ny cho thy c mt s im bt cp sau y: 2.3.1.1. Quy nh v hnh thc hp ng vn cn nhiu im thiu st, cha nht qun, cha m bo l gch php l gia cc iu lut lin quan Vn hnh thc hp ng c qui nh ti cc iu 122, 124, 401 BLDS 2005. Cc qui nh c nhng im bt cp cn phi c lm r. C th: (i) Qui nh ti khon 2 iu 122 B lut Dn s 2005 l cha y Khon 2 iu 122 BLDS 2005 qui nh: Hnh thc giao dch dn s l iu kin c hiu lc ca giao dch trong trng hp php lut c quy nh. Trong qui nh ny, nh lm lut ch cp n trng hp php lut c qui nh, m khng d liu kh nng khi cc bn c tha thun la chn hnh thc hp ng l iu kin c hiu lc ca hp ng. Vic qui nh nh vy l thiu st. Bi l, php lut khng cm cc bn tha thun xc lp hp ng theo mt hnh thc xc nh. Trong lut thc nh, i vi nhiu loi hp ng, php lut cng cho php cc bn c t do la chn hnh thc thch hp giao kt hp ng. V d: Hnh thc u quyn do cc bn tho thun, tr trng hp php lut quy nh vic u quyn phi c lp thnh vn bn [15, khon 2 iu 142]. Trn thc t, i vi cc loi hp ng php lut khng qui nh hnh

67 thc bt buc, th cc bn cng c quyn tha thun hnh thc l mt iu kin c hiu lc ca hp ng. V d: cc bn c th tha thun hp ng t cc mua bn nh, hoc hp ng mua bn kim cng phi c lp bng vn bn theo th tc cng chng th mi c hiu lc, mc d php lut khng qui nh bt buc cc hp ng k trn phi c lp bng vn bn c cng chng. Mt khc, vic iu lut ni trn b qua quyn la chn hnh thc lm iu kin c hiu lc ca hp ng, l cha ph hp vi yu cu ca nguyn tc t do hp ng. Bi l, bn cht ca quan h php lut hp ng l mt loi quan h php lut thuc lnh vc lut t, nn quyn t do ca ch th tham gia quan h php lut ny c php lut cao [15, iu 4]. T do la chn hnh thc hp ng l mt trong nhng ni dung quan trng ca nguyn tc t do hp ng [108, tr.106, 174 v tip]. Trn tinh thn , quyn t do ca cc bn trong vic tha thun chn hnh thc l mt trong nhng iu kin c hiu lc ca hp ng, l mt ni dung cn phi c tn trng v c tha nhn trong lut. Tm li, hnh thc ca hp ng c th l iu kin c hiu lc ca hp ng trong trng hp cc bn c tha thun hoc php lut c qui nh. Bi vy, cn b sung vo qui nh ti iu 401 v kh nng hnh thc l iu kin c hiu lc ca hp ng khi cc bn c tha thun. (ii) Qui nh ti khon 1 iu 401 cn di dng, v cha linh hot Khon 1 iu 401 qui nh: Hp ng dn s c th c giao kt bng li ni, bng vn bn hoc bng hnh vi c th, khi php lut khng quy nh loi hp ng phi c giao kt bng mt hnh thc nht nh. Tinh thn ca iu khon ny l qui nh hnh thc hp ng trong trng hp php lut khng c qui nh bt buc v hnh thc. Tuy nhin, cch din t ca iu lut nh vy l di dng. Bi l, trn c s nguyn tc t do hp ng, cc bn c th la chn xc lp hp ng bng bt k hnh thc no. Mt khi cng nhn s t do trong vic la chn hnh thc hp ng, th cch th hin ni dung iu lut phi theo hng m, ch khng nn g b cc bn phi theo mt khun dng nh hnh no c. Hn na, xt v vai tr v chc nng, th qui nh ti khon 1 iu 401 l qui nh c bn v hnh thc hp ng, nn cng c ngm hiu y l qui nh v hnh thc hp ng trong hon cnh php lut khng qui nh hp ng phi c lp theo bt k hnh thc no. Trong trng hp ny, s hin din ca cm t khi php lut khng quy

68 nh loi hp ng phi c giao kt bng mt hnh thc nht nh l khng cn thit v lm cho iu lut tr nn di dng. Bi vy, cm t ni trn cn c b i. Mt khc, phng php lit k mt danh sch ng cc loi hnh thc hp ng xc nh lm cho iu lut km linh hot. Bi v, theo l thng thng, khi giao kt hp ng, cc bn khng b buc phi lp hp ng theo hnh thc no, tr nhng hp ng php lut buc phi lp theo mt hnh thc xc nh (Nhng y l ngoi l, s c qui nh khon 2). Theo , v nguyn tc, cc bn c th lp hp ng bng bt k hnh thc no, k c bng s kt hp ca tt c cc hnh thc . Thm ch, s im lng cng c xem nh l mt hnh thc tr li chp nhn giao kt hp ng, trong trng hp php lut c qui nh [15, iu 404 khon 2]. Hn th na, cc bn khng ch xc lp hp ng bng mt hnh thc duy nht l vn bn, li ni hay hnh vi c th m c th kt hp s dng ng thi nhiu hnh thc khc nhau giao kt hp ng. Hin tng ny cng c tm thy kh ph bin trong thc tin xt x. V d: trong v tranh chp v hp ng bo him ti Bn n s 195/2007/KDTM-PT ngy 09/10/2007 ca Ta Phc thm TANDTC ti H Ni, gia nguyn n l Cng ty Vt t vn ti v xy dng cng trnh giao thng vi b n l Cng ty c phn bo him Vin ng. Ngy 20/12/2004, nguyn n c k hp ng vi b n mua bo him ti sn cho 72 chic xe my hiu STAR (c gi tr l 916.363.656 ng) m nguyn n ang vn chuyn t ng Nai i H Ty. Vic k kt hp ng c thc hin bng c hai cch: cc bn va gi in thoi trao i k hp ng, ng thi cng va giao kt hp ng bng vn bn. V cc bn s dng ng thi nhiu hnh thc v phng thc khc nhau giao kt hp ng, nn ta n cc cp kh lng tng trong vic xc thi im c hiu lc ca hp ng. Nguyn n da vo thi im gi in thoi cho rng hp ng k trc 11h00 ngy 20/12/2004. B n da vo thi im bn bo him k vo n bo him cho rng hp ng k sau 11h00 ngy 20/12/2004. Trong trng hp ny, cc bn giao kt hp ng ng thi bng nhiu hnh thc khc nhau. Nh vy, vic cc bn s dng bt k hnh thc no, hoc s dng ng thi nhiu hnh thc khc nhau giao kt hp ng l mt thc t ph bin. y l kh nng m khon 1 iu 401 BLDS 05 cha d liu. Cch trnh by bng vic lit k mt danh sch ng cc hnh thc hp ng s lm cho iu khon ny tr nn km

69 linh hot. Bi vy, khon 1 iu 401 cn c sa i, b sung cho ph hp vi cc yu cu v ni dung v k thut nh va phn tch. (iii) Quy nh v hnh thc bt buc ca hp ng ti khon 2 iu 401 cn thiu st v cha nht qun Theo qui nh ti on 1 khon 2 iu 401: Trong trng hp php lut c quy nh hp ng phi c th hin bng vn bn c cng chng hoc chng thc, phi ng k hoc xin php th phi tun theo cc quy nh . Trong khi , khon 2 iu 124 BLDS 2005 li qui nh: Trong trng hp php lut quy nh giao dch dn s phi c th hin bng vn bn, phi c cng chng hoc chng thc, phi ng k hoc xin php th phi tun theo cc quy nh . i chiu hai iu lut ny, ta thy chng bc l nhng thiu st sau y: Th nht, cch din t ca c hai iu lut ny theo phng php lit k, nn ni dung ca iu lut vn cn thiu st, v cha lit k c cc hnh thc bt buc khc ca hp ng, v d hnh thc hp ng c th l mt hnh vi c th. Trong lut thc nh, c nhng loi hp ng m hnh thc th hin phi bng hnh vi c th th hp ng mi c hiu lc. V d: theo BLDS 2005, hp ng cm c ti sn c hiu lc t thi im ti sn cm c c chuyn giao cho bn nhn cm c (iu 328); Hp ng tng cho ng sn c hiu lc khi bn c tng cho nhn ti sn (iu 466); hoc nu bt ng sn khng phi ng k quyn s hu th hp ng tng cho c hiu lc k t thi im chuyn giao ti sn (khon 2 iu 467). Trong l lun, cc lut gia cng tha nhn cc hp ng thc t ch c hiu lc t thi im khi cc bn chuyn giao cho nhau i tng ca hp ng [243, tr.105]. S lit k thng l khng y , v s lm cho ni dung ca iu lut tr nn di dng v khng bao qut ht cc trng hp cn thit. Trong trng hp ny, iu lut cha lit k hnh thc bt buc ca hp ng l mt hnh vi c th. Do , khon 2 iu 401 cn c sa i, b sung bo m tnh khi qut hn. Th hai, so vi khon 2 iu 124 BLDS 2005, qui nh qui nh ti on 1 khon 2 iu 401 dng nh c s thiu st v cha nht qun, v khng qui nh hnh thc bt buc ca hp ng l vn bn (thng). Bi l, theo qui nh ti khon 2 iu 124, cc hnh thc giao dch dn s bt buc c lit k bao gm c hnh thc vn bn thng, nhng khon 2 iu 401 ch lit k cc hnh thc hp ng bt buc bng vn bn c cng chng hoc chng thc, phi ng k hoc xin php, m khng

70 bao gm hnh thc vn bn thng. Do , khi php lut qui nh loi hp ng no phi c lp bng vn bn, m cc bn khng tun th, th s rt kh gii quyt, v thiu cn c php l cn thit. Trong lut thc nh, c nhiu hp ng dn s chuyn bit hoc cc hp ng thng mi c php lut qui nh bt buc phi c lp bng vn bn, nh c trnh by trong mc 2.2.2.2. ca Chng ny. V d: theo iu 492 BLDS 2005, hp ng thu nh di 6 thng th bt buc phi c lp bng vn bn. Gi s trn thc t cc bn lp hp ng thu nh bng li ni, th gii quyt th no (?). C th thy, qui nh ti iu 492 BLDS 2005 l qui phm mnh lnh: hp ng thu nh phi c lp thnh vn bn. Nu hnh thc ca hp ng khng tun theo qui nh ny th hp ng b coi l khng hp php, v khon 2 iu 124 BLDS 2005 qui nh: Trong trng hp php lut c qui nh giao dch dn s phi c th hin bng vn bn, phi cng chng hoc chng thc, phi ng k hoc xin php th phi tun theo cc qui nh . Nhng theo qui nh ti khon 2 iu 401, th hp ng thu nh ni trn khng b coi l tri lut, v theo qui nh ti khon 2 iu 401, vn bn khng phi l hnh thc bt buc. Mt khc xt v th t u tin p dng, th qui nh ti khon 2 iu 124 BLDS 2005 l qui nh chung v hnh thc giao dch, cn qui nh ti khon 2 iu 401 l qui nh ring v hnh thc hp ng - mt loi giao dch dn s chuyn bit. V th, gii quyt tranh chp v hnh thc hp ng, th khon 2 iu 401 phi c p dng u tin hn, so vi khon 2 iu 124. Theo l gch , php lut c qui nh cc hp ng chuyn bit bt buc phi lp bng vn bn, th theo khon 2 iu 401, cc bn cng khng bt buc phi tun theo, v qui nh ti khon 2 iu 401 ch buc phi tun theo khi hp ng c lp bng vn bn c cng chng hoc chng thc, phi ng k hoc phi xin php, ch khng bt buc hp ng phi c lp bng vn bn nh qui nh ca khon 2 iu 124 BLDS 2005. Phn tch trn cho thy, khon 2 iu 401 BLDS 2005 lp li qui nh ti khon 2 iu 124 BLDS 2005, nhng ni dung lp li khng y (khng cp hnh thc hp ng bng vn bn thng). Tuy hai iu lut cng iu chnh v mt vn , nhng ni dung khng nht qun. Cu hi t ra l, phi chng qui nh ti khon 2 iu 401 v hiu ha cc qui nh khc ca php lut v cc hp ng c hnh thc bt buc bng vn bn (?). c cch hiu thng nht v to iu kin thun li, d dng hn trong vic nhn thc v p dng php lut, thit ngh vn ny cn phi

71 c lm r theo hng: vit li ni dung cc iu 124 (khon 2) v iu 401 (khon 2) nhm bo m tnh khi qut, y trong ni dung tng iu lut v bo m tnh nht qun gia cc iu lut ny. 2.3.1.2. Qui nh v cch thc gii quyt hu qu php l ca cc hp ng b vi phm v hnh thc cn nhiu bt cp Nh phn tch phn trn, nh hng ca yu t hnh thc i vi hp ng rt a dng, c th lm hp ng v hiu, hoc lm cho hp ng khng c gi tr php l i vi ngi th ba, c th chng minh c s tn ti ca hp ng, xc nh thi im giao kt v thi im c hiu lc ca hp ng. Tuy vy, qui nh ti iu 134 BLDS 2005 ch a ra mt cch thc x l i vi mt trng hp vi phm: khi hnh thc l iu kin c hiu lc ca hp ng m cc bn khng tun th th theo yu cu ca mt hoc cc bn, To n, c quan nh nc c thm quyn khc quyt nh buc cc bn thc hin quy nh v hnh thc ca giao dch trong mt thi hn; qu thi hn m khng thc hin th giao dch v hiu. Nghin cu qui nh ny th thy c nhng bt cp sau y: (i) Vic x l hu qu ca hp ng v hiu v hnh thc nh trn l cha ph hp vi yu cu ca thc tin v khng kh thi Theo iu 134 BLDS 2005, khi php lut c qui nh hnh thc l iu kin c hiu lc ca hp ng, m hp ng b vi phm v hnh thc, th theo yu cu ca cc bn, ta n hoc c quan c thm quyn khc ra quyt nh buc cc bn thc hin ng hnh thc hp ng trong mt thi hn; qu thi hn m khng thc hin th hp ng v hiu. i vi cc hp ng mua bn nh b vi phm v hnh thc, thi hn ni y l mt thng [198, Mc 2.2.]. C kin cho rng, qui nh v cch gii quyt hu qu ca hp ng vi phm hnh thc nh trn l lc lng, xa l vi yu cu ca cng l [108, tr.207]. Tc gi cng ng tnh vi kin ny. Bi l, bn cht ca vic khi kin ra ta trong trng hp ny khng n gin l i ta n xem xt v hnh thc ca hp ng, m thc cht cc bn, hoc l mun c ta n cng nhn hp ng c gi tr php l, hoc l mun ta n bc b (khng cng nhn) hp ng. Thng th mt bn cho rng, mnh cha chnh thc k hp ng nn hp ng cha c hiu lc rng buc; cn bn kia li mun chng minh l hp ng c thit lp t nguyn v trn thc t cc bn thc hin hp ng, nn yu cu ta n cng nhn hiu lc ca hp ng v buc bn

72 kia phi thi hnh ngha v pht sinh t hp ng. Bi vy, nu ta n ch buc cc bn phi tun th hnh thc lut nh ca hp ng, tc l khng phn nh ng bn cht ca quan h tranh chp, khng gii quyt ng yu cu v mong i ca cc bn. Mt khc, qui nh ny cng khng kh thi v thc t cho thy, c cc bn cng nh ta n u khng my mn m trong vic p dng qui nh ny. Nhn nh ny c nhiu kin ng tnh [54, tr.194; 68, tr.51]. Thc t cho thy, cc bn thng ch t chi tha nhn gi tr php l ca hp ng khi gi thay i nhiu so vi gi nh lc giao kt hp ng. Trong trng hp ny, bn t chi cng nhn hp ng s nhn c khon li ln hn so vi vic phi hp ng, nn h sn sng hy b hp ng v chp nhn bi thng thit hi, thay v phi xc lp hp ng ng hnh thc lut nh. Mt khc, do cc bn khng c s thng nht vi nhau v vic tip tc giao kt v thc hin hp ng, vic bt buc cc bn phi hon tt th tc cng khng cn cn thit v khng kh thi, nn ta n thng tuyn b hp ng v hiu ngay, thay v buc cc bn hon tt hnh thc trong mt thi hn, nh qui nh ti iu 134 BLDS 2005. Quan im ny cng c cng c bi thc tin xt x. V d: Bn n s 1355/ 2006/DSST ngy 21/12/2006 v Hp ng mua bn nh, TAND Tp. H Ch Minh cho rng, khi cc bn khng ng tip tc thc hin hp ng, th cch tt nht l chp nhn vic chm dt hp ng, v buc bn c li lm cho hp ng khng th tip tc thc hin phi bi thng thit hi cho bn kia. Tm li, qui nh ti iu 134 BLDS 2005 hin nay l khng ph hp vi thc t v cng khng kh thi. Hn na, bn cht ca vn khng ch l s vi phm hnh thc hp ng, m nguyn nhn su xa chnh l do s bin ng v gi nh, m cch gii quyt hin nay l cha m bo cng bng li ch i vi cc bn. Thc t ny t ra vn cn phi tm kim mt gii php khc hp l v cng bng hn cho cc bn. (ii) Qui nh gii php khc phc vi phm hnh thc hp ng cn nhiu bt cp, thiu nht qun, khng ph hp vi thc tin iu 134 BLDS 2005 khng xc nh r phm vi p dng v mc vi phm v hnh thc ca cc hp ng. C th, iu lut cha xc nh: (i) gii hn phm vi p dng ca iu lut: hnh thc thc t ca hp ng l hnh thc no (c lm vn bn, hoc ch bng li ni, hnh vi), v (ii) s vi phm hnh thc ang giai on no (cha thc hin, ang thc hin, hoc thc hin xong) th cn c xem xt li. T

73 , dn n vic nhn thc khc nhau v qui nh ny, lm cho hiu lc p dng ca iu lut c phn b hn ch. Thc tin xt x cng cho thy, khng phi mi trng hp vi phm hnh thc u c ta n xem xt cho cc bn hon thin v hnh thc, m ty loi hp ng, v ty mc vi phm v hnh thc. V d: Bn n s 185/2008/DSPT ngy 17/4/ 2008 ca TAND tnh An Giang v tranh chp hp ng sang nhng t. Nguyn n tha thun chuyn nhng cho b n 30 cng t, vi gi 7 triu ng/ ha. Hp ng c tha thun bng ming. Nguyn n giao t cho b n canh tc trn thc a. B n t cc cho nguyn n s tin 18 triu ng, v hn s tr ht s tin cn li vo 20/4/2003. Qu hn, sau nhiu ln yu cu b n thanh ton, nhng b n khng thc hin, nn nguyn n kin b n ra ta i hy b hp ng. Ti Bn n s 100/2007/DSST ngy 29/11/2007, TAND huyn T. chp nhn yu cu ca nguyn n, tuyn hy b hp ng ni trn; buc nguyn n hon li cho b n s tin chuyn nhng t m b n tr, tnh theo thi gi l 70 triu ng. B n khng co yu cu cng nhn hiu lc ca hp ng. Cp phc thm nhn nh hp ng ny khng c lp thnh vn bn, c cng chng, chng thc theo qui nh ca php lut, cp s thm tuyn hp ng ny v hiu l c cn c, nn tuyn y n s thm. Nh vy, theo quan im ca c hai cp ta n, tuy i tng ca hp ng c chuyn giao v tin chuyn nhng c thanh ton mt phn, nhng ta n cng khng buc cc bn phi hon tt hnh thc hp ng. Tng t, trong Quyt nh GT s 25/2005/DS-GT ngy 16/9/2005 ca HTP TAND TC x v v n i ti sn. Nguyn n tha thun bng ming bn cho b n ngi nh tr gi 130 triu ng. B n tr trc 50 triu ng v nguyn n giao nh cho b n. Do b n vi phm ngha v thanh ton, nn nguyn n kin xin hy hp ng, i li nh v hon li tin cho b n. Cp s thm hy b hp ng mua bn nh v hp ng c lp bng ming [262, tr.259-63]. Trong Ngh quyt 01/2003/NQ-HTP v Ngh quyt 02/2004/NQ-HTP, HTP-TANDTC cng ch hng dn vic khc phc hnh thc b vi phm i vi cc hp ng mua bn nh, hp ng chuyn quyn s hu t, m khng hng dn p dng cho cc loi hp ng khc. Theo , khi gii quyt tranh chp loi ny, mt s ta n ch yu cng ch quyt nh buc cc bn khc phc hnh thc i vi loi hp ng mua bn, chuyn nhng nh , t . Cn cc loi hp ng khc, nh cc hp

74 ng thu nh b vi phm hnh thc, ta n thng tuyn b hp ng v hiu ch khng buc cc bn thc hin ng hnh thc theo qui nh ti iu 134 BLDS 2005. V d: Bn n s 634/2006/DS-PT ngy 22/6/2006 ca TAND Tp. H Ch Minh, nguyn n cho b n thu nh vi thi hn 5 nm, tnh t ngy 30/01/2005. Cp s thm tuyn hp ng ny v hiu k t thi im giao kt do khng tun th iu 492 BLDS 2005, m khng buc cc bn thc hin ng hnh thc lut nh. Quan im ny c cp phc thm chp nhn: Cn c theo iu 492 BLDS 2005, cp s thm x hp ng ny v hiu l c cn c ngh nn chp nhn. Tng t, theo Bn n s 1178/2006/DS-PT ngy 16/11/2006 ca TAND Tp. H Ch Minh, cc bn k hp ng thu mt bng vi hnh thc vn bn. Ta n cho rng, Ti phin ta hm nay c hai bn u xc nhn bit r hp ng phi cng chng, chng thc mi c hiu lc. Nhng hai bn khng chng minh c khi k hp ng c yu cu i cng chng m khng c bn kia thc hin, ng thi trong qu trnh Ta n gii quyt v n cc bn cng khng c yu cu buc thc hin qui nh v hnh thc ca giao dch. Do , giao dch v hiu l do li ca hai bn.... Thm ch, ngay c i vi cc hp ng mua bn nh hoc chuyn nhng quyn s dng t vi phm hnh thc cng b ta n tuyn v hiu ngay m khng buc cc bn phi thc hin ng hnh thc do php lut qui nh. Mt s Ta lun lp rng, vic tuyn buc cc bn phi thc hin ng hnh thc qui nh s khng kh thi v cc bn th hin r quan im ti ta l khng chp nhn tip tc thc hin hp ng. V d: Bn n 1355/2006/DSST ngy 21/12/2006 ca TAND Tp. H Ch Minh, Bn n 187/2006/DSPT ngy 19/6/2006 ca TAND tnh An Giang... C Ngh quyt 01/2003/NQ-HTP v Ngh quyt 02/2004/NQ-HTP hng dn cng mt vn hp ng b vi phm hnh thc, nhng ng li gii quyt rt khc nhau, v cng khc c bn vi qui nh ti iu 134 BLDS 2005. iu chng t cc c quan hu quan vn cn lng tng, cha c gii php ti u cho vn . Cch gii quyt vn cn mang tnh s v m thiu nn tng l lun chung mang tnh hc thuyt. Nhn thc c iu ny l tin quan trng cho vic nghin cu, tm kim cc gii php thch hp x l tt hu qu php l ca hp ng vi phm hnh thc.

2.3.2. Mt s kin ngh hon thin qui nh hin hnh v hnh thc hp ng

75 Nh phn tch, thc trng php lut v thc tin xt x cc tranh chp lin quan ti hnh thc hp ng hin nay cn nhiu bt cp. Sau y l mt s kin ngh nhm khc phc tnh trng ni trn v hon thin php lut v hnh thc hp ng: 2.3.2.1. Sa i, b sung qui nh ti khon 1 iu 401 B lut Dn s 2005 Nh phn tch ti tiu mc 2.3.1.1, ni dung khon 1 iu 401 cha d liu trng hp cc bn tha thun hnh thc ca giao dch l iu kin c hiu lc ca hp ng, cng nh cha th hin ng tinh thn ca nguyn tc t do, t nguyn cam kt tha thun [15, iu 4]. Mt khc, khon 2 iu 401 cn c nhng ni dung khng cn thit, lm iu lut tr nn di dng. Hn na, iu lut cng cha th hin r vic cc bn c th s dng ng thi nhiu hnh thc khc nhau giao kt hp ng. T , i hi cn sa i, b sung khon 1 iu 401 theo hng m rng v qui nh linh hot hn v hnh thc hp ng, bo m ti a quyn t do la chn hnh thc hp ng ca cc bn ch th. C th, khon 1 iu 401 BLDS 2005 nn vit li nh sau (on in nghing l phn c kin ngh sa i, b sung): 1. Hp ng c th c giao kt bng li ni, bng vn bn, bng hnh vi c th, hoc bng cc hnh thc vt cht khc c th din t c ch ca cc bn v chng minh c s tn ti ca hp ng, hoc bng s kt hp ca hai hay nhiu hnh thc k trn. So vi qui nh c, ni dung khon 1 iu 401 (mi) c b sung cc hnh thc vt cht khc v bng s kt hp ca nhiu hnh thc khc nhau. Qui nh ny th hin danh sch hnh thc hp ng theo hng m, va p ng yu cu ca thc tin, va bo m quyn t do hp ng, to iu kin thun li cho cc giao dch dn s pht trin bnh thng, ng thi cng ha nhp vi xu hng php lut tin tin trn th gii. Cch qui nh va lit k danh sch cc hnh thc hp ng c th, va m t cc kh nng khc c th d dng gii thch b sung ni dung iu lut v lm cho ni dung iu lut t b lc hu hn so vi thc tin cuc sng. Mt khc, cch qui nh ny cng cao nguyn tc t do cam kt, tha thun. Tinh thn c bn ca nguyn tc t do cam kt, tha thun th hin ch cc bn tham gia trong quan h dn s c quyn t do th hin ch, t do la chn i tc, t do la chn cc hnh thc v cc loi giao dch cng nh t do la chn cc iu kin ca giao dch m mnh tham gia [256, tr.35].

76 Hn na, cch th hin ca iu lut cng tr nn ph hp hn vi xu hng chung ca th gii trong vic qui nh v hnh thc hp ng. im ny cn hc hi kinh nghim ca Cng c Vin 19807, B nguyn tc ca UNIDROIT v hp ng thng mi quc t8, B nguyn tc chung ca Lut Hp ng chu u9 v vic cng nhn cc hnh thc khc c th din t c ni dung hp ng m cc bn c th xut trnh lm bng chng khi c tranh chp. Theo , hp ng c th c giao kt bng bt k hnh thc no, min sao c th din t chnh xc ch ch thc ca cc bn trong hp ng, chng minh s tn ti thc t ca hp ng, v c th lu tr v tham chiu khi cn thit, thm ch c th chng minh bng li khai ca nhn chng. Tuy vy, li khai ca nhn chng suy cho cng khng phi l mt hnh thc ring bit ca hp ng m ch l mt cch thc chng minh v s tn ti ca hp ng. Do , ni dung ca iu lut qui nh v hnh thc hp ng khng nht thit phi lit k c vn chng minh hp ng thng qua li khai ca nhn chng. ng thi trong qui nh mi cng lc b on khi php lut khng quy nh loi hp ng phi c giao kt bng mt hnh thc nht nh, lm cho ni dung tr nn ngn gn v hp l hn. Bi l, y l qui nh c bn v hnh thc ca hp ng, nn khng cn thit phi a thm on trn vo. Nu cc bn c tha thun khc hoc php lut qui nh khc th l nhng ngoi l, s c iu chnh trong iu khon ring, c th l khon 2 iu 401 BLDS 2005, nh mc tip theo di y. 2.3.2.2. Sa i, b sung qui nh ti khon 2 iu 401 B lut Dn s 2005 Nh phn tch ti tiu mc 2.3.1.1, qui nh ti khon 2 iu 401 cn thiu st, v cha nht qun vi qui nh ti khon 2 iu 124 B lut Dn s 2005. Mt khc, cch qui nh mang tnh cht lit k lm cho khon 2 iu 401 va di dng, va khng y , v cha d liu c ht mi hnh thc bt buc ca hp ng. Do , khon 2 iu 401 cn phi c sa i, b sung cho ph hp.

iu 11: Hp ng mua bn hng ha khng cn phi c k kt hoc xc nhn bng vn bn hay phi tun th theo mt yu cu no khc v hnh thc ca hp ng. Hp ng c th c chng minh bng mi cch, k c nhng li khai ca nhn chng. 8 iu 1.2: B Nguyn tc UNIDROIT khng bt buc hp ng, tuyn b hay bt k mt hnh vi no khc phi c giao kt hay chng minh bng mt hnh thc c bit. Chng c th c chng minh bng bt k cch thc no, k c bng ngi lm chng. 9 iu 2: 101, khon 2: Hp ng khng cn phi k kt hoc lm bng vn bn, hoc phi tun th bt k yu cu no khc v hnh thc. Hp ng c th c chng minh bng bt k cch thc no bao gm c ngi lm chng.

77 Mc d khon 2 iu 124 khng d liu tt c cc hnh thc bt buc ca hp ng, nhng v khon 2 iu 124 l qui nh chung v hnh thc bt buc cc loi giao dch dn s, khng nht thit phi th hin y cc yu cu v hnh thc hp ng, nn c th c gi nguyn. Cn qui nh ti khon 2 iu 401 l qui nh ring so vi khon 2 iu 124, v l ngoi l so vi khon 1 iu 401 v hnh thc ca hp ng, nn cn phi sa i, b sung theo hng: va ngn gn va m bo s nht qun so vi qui nh ti khon 2 iu 124 v khon 1 iu 401. C th, khon 2 iu 401 nn c sa i, b sung nh sau: 2. Trong trng hp cc bn c tha thun hoc php lut c quy nh hp ng phi c th hin bng hnh thc nht nh th hp ng phi c giao kt theo ng hnh thc . C th thy ni dung khon 2 iu 401 (mi) mang tnh khi qut cao v sc tch hn so vi qui nh c, ng thi ni dung ca iu lut cng tr nn hp l, y v nht qun so vi cc qui nh khc c lin quan. y, vic cc bn tha thun khc hoc php lut qui nh khc l nhng trng hp ngoi l so vi qui nh c bn ca khon 1 (va c kin ngh sa i, b sung trn). So vi khon 2 (c), th qui nh ny c tnh khi qut cao hn v sc tch hn, v: th nht, iu lut d liu c trng hp cc bn c tha thun khc; th hai, ni dung iu lut tuy khng lit k cc hnh thc c th ca hp ng, nhng cm t bng hnh thc nht nh li bao hm c nhng hnh thc c lit k ti khon 2 iu 401 hin hnh, nh vn bn cng chng hoc chng thc, ng k, hoc xin php. Ngoi ra, ngha ca cm t ny c th c gii thch m rng, bao hm c nhng hnh thc khc khng c d liu trong khon 2 iu 401 hin hnh, nh vn bn (hoc bng hnh vi c th). V d: hnh thc hp ng t cc [15, khon 1 iu 358], hp ng thu nh di 6 thng [15, iu 492]. Hn na, qui nh ny cng cho php cc bn c quyn tha thun hp ng c lp bng hnh thc xc nh, nn hnh thc cc bn tha thun c th l bt k hnh thc no m cc bn cho l ph hp. Bi vy, cm t bng hnh thc nht nh c ngha va bo m tnh khi qut v sc tch ca iu lut, va m bo s nht qun vi cc qui nh khc c lin quan.

78 2.3.2.3. B on 2 khon 2 iu 401 v b sung qui nh hnh thc l iu kin c hiu lc ca hp ng nu cc bn c tha thun hoc php lut c qui nh (i) B on 2 khon 2 iu 401 B lut Dn s 2005: Phn trnh by v cc bt cp ca php lut cng ch ra qui nh ti on 2 khon 2 iu 401 l mt ni dung gy ra s mu thun, v lm v hiu ha cc qui nh khc v hnh thc hp ng. R sot cc qui nh ca php lut cng khng tm thy qui nh khc no xc nh r rng trng hp hp ng b v hiu do vi phm hnh thc. Hn na, i chiu vi cc qui nh tng ng v hnh thc hp ng v gii quyt hu qu do hnh thc b vi phm v hnh thc, th qui nh ny l khng chnh xc. Bi l: Th nht, theo qui nh ca php lut, c nhiu hp ng b vi phm hnh thc th khng c ta n cng nhn.V d: vic t cc bo m giao kt, thc hin hp ng khng lp thnh vn bn, th khi c tranh chp, ta n s khng cng nhn hp ng t cc gia cc bn [15, iu 358; 198, Mc 1]. Tng t, hp ng tng cho nh khng c lp ng hnh thc v cha hon tt th tc lut nh, th ta cng khng th cng nhn gi tr php l ca hp ng [15, khon 2 iu 467]. Suy cho cng th vic khng cng nhn hp ng cng c ngha l hp ng cha c gi tr php l, cha lm pht sinh quyn v ngha v gia cc bn, v theo cc chuyn gia, trn thc t khng c s phn bit ng k gia hp ng khng c hiu lc vi hp ng khng c ta n cng nhn do khng chng minh c s tn ti ca hp ng [248, tr.44]; Th hai, khi php lut php lut qui nh hp ng phi c lp bng hnh thc bt buc m cc bn khng tun th, th cng c th b ta n tuyn b v hiu sau khi ta n ra quyt nh buc cc bn phi thc hin ng qui nh v hnh thc, nhng mt hoc cc bn li khng chu thc hin [15, iu 134]. V th, bo m tnh thng nht, ng b trong cc qui nh v gii quyt hu qu l ca hp ng b vi phm hnh thc, cn b qui nh ti on 2, khon 2, iu 401: Hp ng khng b v hiu trong trng hp c vi phm v hnh thc, tr trng hp php lut c quy nh khc. (ii) B sung qui nh hnh thc hp ng l iu kin c hiu lc ca hp ng khi cc bn c tha thun Khon 2 iu 122 BLDS 2005 cha lit k trng hp: cc bn tha thun hnh thc l mt iu kin c hiu lc ca hp ng. Trn thc t, i vi cc loi hp

79 ng php lut khng qui nh hnh thc bt buc, th cc bn cng c quyn tha thun hnh thc l mt iu kin c hiu lc ca hp ng. V d: cc bn c th tha thun hp ng t cc mua bn nh, hoc hp ng mua bn kim cng phi c lp bng vn bn cng chng th mi c hiu lc, mc d php lut khng qui nh bt buc cc hp ng k trn phi c lp theo hnh thc vn bn cng chng. Trong thc tin thng mi, chng ta cng thng thy cc bn c th tha thun chn mt hnh thc hp ng xc nh lm iu kin c hiu lc ca hp ng. Tng t, cc bn cng c th tha thun vic sa i, b sung hp ng phi c th hin bng mt hnh thc xc nh th mi c hiu lc. Thc tin ny c cc nh son tho b Nguyn tc hp ng thng mi quc t Unidroit (PICC) tng kt v d liu ti cc iu 2.1.13 Trong cc cuc m phn, khi mt bn yu cu vic giao kt hp ng ph thuc vo tha thun v mt s vn lin quan n ni dung hoc hnh thc, th hp ng s ch c giao kt nu cc bn t c tha thun v nhng vn ny; hoc qui nh ti iu 2.1.18 v vic sa i hp ng bng hnh thc c bit. Trong lut thc nh ca mt s quc gia cng tng c tin l cho php cc bn c quyn tha thun hnh thc l iu kin c hiu lc ca hp ng. V d: khon 2 iu 162 BLDS Nga qui nh: Khng tun th hnh thc vn bn n gin lm cho hp ng v hiu nu php lut c quy nh hoc cc bn c tho thun. Tng t, iu 11 Lut hp ng Trung Quc cng c qui nh: Nu ng s tha thun vi nhau s dng hnh thc hp ng bng vn bn, th phi xc lp hp ng theo hnh thc vn bn. Tuy vy, qui nh ti khon 2 iu 122 BLDS 2005 l qui nh chung v iu kin c hiu lc ca giao dch dn s, c th khng bao gm ht cc yu cu i vi hnh thc ca cc loi giao dch khc nhau. c qui nh ring xc nh r hnh thc l iu kin c hiu lc ca hp ng, ti kin ngh Quc hi cn b sung qui nh ny vo iu 401 v thit k thnh khon 3 iu 401. C th: 3. Hnh thc hp ng l iu kin c hiu lc ca hp ng trong trng hp cc bn c tha thun hoc php lut c quy nh hp ng phi c lp bng mt hnh thc xc nh.

80 2.3.2.4. Gii quyt hu qu php l ca hp ng vi phm hnh thc Thc trng php lut v thc tin p dng cc qui nh php lut v ng li x l hp ng vi phm hnh thc vn cn nhiu lng tng, bt cp, va rm r, va thiu tnh kh thi. Trn thi gii, vn ny c ba cch gii quyt khc nhau. Th nht: Theo lut ca Php, nu cc bn thit lp hp ng, nhng khng ng hnh thc lut nh th c hai kh nng: (i) v nguyn tc, ta n c th vn dng qui nh ca BLDS suy on rng, hp ng c giao kt trn c s tha thun ti thiu (iu 1589 BLDS Php): bn no bin lun rng vic lp vn bn b sung l mt iu kin hp ng hnh thnh, th c ngha v phi chng minh iu trn c s c s by t nh r rng theo hng ny (th hin trong Phn quyt JCP 1993, 1, 1507 ca Ta Dn s - Ta n T php Ti cao, ln 3 ngy 07/4/ 1993]; (ii) nu php lut qui nh mt hnh thc bt buc, hoc cc bn chng minh c mt tha thun xem vn bn l cn thit cho s giao kt hp ng, th cam kt khng ng hnh thc y c coi l cam kt tin hp ng; cam kt ny c gi tr, nhng khng phi l hp ng [230, tr.133]. Bn vi phm cam kt ny s chu trch nhim (ngoi hp ng) do khng thc hin tha thun s b. Ta n khng c quyn buc cc bn phi thc hin cam kt nh mt hp ng [230, tr.133 - 4]. Th hai: Khc vi Php, iu 16 B lut Tri v ca Thy S, iu 884 BLDS o v iu 1352 BLDS Italia u qui nh rng, vn bn m cc bn qui nh s k, v nguyn tc, l mt yu t hnh thnh hp ng, tr khi c bng chng ngc li. Cn theo qui nh ti khon 2 iu 154 B lut Dn s CHLB c, nu cc bn tha thun cng chng hp ng, th trong trng hp c nghi vn, hp ng xem nh cha c k kt, cho n khi n c cng chng. Th ba: Theo lut Anh M, da vo hc thuyt promissory estoppel (hn ch rt li cam kt) [203, tr.1812; 301, tr.1012; 317, tr.1127; 344, tr.11-12], i vi cc hp ng chuyn giao cc li ch lin quan n cc bt ng sn b vi phm v hnh thc, hoc cc bn c tha thun s k kt hp ng, nhng cha hon tt hnh thc, th tc ng qui nh, th cam kt vn c ta n cng nhn, nu tha mn cc yu cu sau y: (1) Li cam kt ca mt bn lm cho bn kia c l do chnh ng tin l hp ng s c giao kt hoc cam kt s c thc thi; (2) ti sn c chuyn giao cho bn kia v bn kia c s u t ng k lm gia tng gi tr ca ti sn ( chuyn giao), m s tng gi tr khng d dng xc nh bng tin;

81 (3) vic t chi hp ng dn n mt thit hi ng k cho bn kia. Nu c c ba du hiu trn, th cho d c sai v hnh thc, hp ng vn c cng nhn, xt trn quan im cng bng v nim tin chnh ng, hp l. Nhng qui nh ca php lut cc nc trn cho chng ta mt kinh nghim qu trong vic sa i, b sung cc qui nh tng ng trong php lut Vit Nam. T cc c s l lun v thc tin trn, tc gi kin ngh Quc hi sa i, b sung qui nh ti iu 134 BLDS 2005 theo hng: iu 134 (mi) cn c thit k lm 3 khon: (i) Sa i, b sung qui nh khon 1 iu 134 BLDS 2005 (mi) theo

hng xc nh r: khi cc bn c tha thun hoc php lut c qui nh hnh thc l iu kin c hiu lc ca giao dch dn s, th ty trng hp c th m ta n xem xt cng nhn hoc tuyn b giao dch v hiu, nu xt thy cn thit, cng bng v c cn c. Ni dung khon 1 iu 134 (mi) nn c vit nh sau: 1. Trong trng hp cc bn c tha thun hoc php lut c quy nh hnh thc giao dch dn s l iu kin c hiu lc ca giao dch m cc bn khng tun theo, th theo yu cu ca mt hoc cc bn, ty tng trng hp m to n, hoc c quan c thm quyn khc c th cng nhn hiu lc ca giao dch hoc tuyn b giao dch v hiu theo cc cn c c qui nh ti khon 2 v khon 3 iu ny. y, ni dung khon 1 qui nh nguyn tc chung gii quyt hu qu php l ca giao dch vi phm hnh thc, vi iu kin c th c qui nh ti cc khon tip theo ca iu lut. Mt khc, ni dung iu lut cng tng i linh hot v cho php ta n c th xem xt, thm lng tng trng hp c th trc tip cng nhn hoc khng cng nhn hiu lc ca cc giao dch, da trn nhng cn c c th. iu ny hn ch s my mc cng nh s ty tin ca mt s ta n khi cng nhn hoc khng cng nhn gi tr php l ca cc hp ng (giao dch) vi phm hnh thc. (ii) B sung cc tiu chun c th ta n c cn c php l khi xem xt, cng nhn hiu lc ca giao dch dn s nu giao dch c cc bn xc lp, thc hin trn thc t mt cch ngay tnh, cng bng, cc iu kin khc giao dch c hiu lc, nhng hnh thc khng ng qui nh php lut. iu kin cng nhn giao dch dn s c hiu lc trong trng hp ny cn cht ch, nhng thng thong v ph hp vi yu cu ca thc tin: (1) c bng chng hp php khc (bin nhn, th t, li khai hp l v c c s ca ngi lm chng): iu kin ny nhm bo m rng, cc bn c bng chng hp php chng minh mt cch chc chn l

82 cc bn xc lp giao dch vi nhau, hoc c bng chng chng minh mt bn c biu hin khin cho bn kia tin rng mnh c bn kia ngh giao kt hp ng; (2) hp ng c thc hin mt phn hoc ton b (ti sn c giao, tin c tr): iu kin ny nhm xc nh r tin xc lp thc hin giao dch giai on thc hin trn thc t; (3) nu tuyn hp ng v hiu vn khng khi phc li tnh trng ban u ca giao dch nhng li lm thit hi nghim trng ti quyn li ca mt hoc cc bn: iu kin ny nhm xc nh s cn thit phi tha nhn hiu lc ca giao dch nhm bo m s cng bng v n nh giao lu dn s. Tuy vy, i vi nhng giao dch cha c thc hin xong th cn d liu kh nng cc bn tip tc thc hin hon tt ngha v ca mnh mt cch cng bng, c tnh n tnh trng thay i v gi c trn th trng. Ni dung ny c trnh by thnh ba on v thit k thnh khon 2 iu 134 (mi). C th nh sau: 2. Ta n hoc c quan c thm quyn cng nhn hiu lc ca giao dch dn s trong trng hp giao dch vi phm hnh thc m cc bn c bng chng hp php khc chng minh c s tn ti ca giao dch, chuyn giao cho nhau mt phn hoc ton b i tng ca hp ng, thanh ton mt phn hoc ton b s tin cn thanh ton, v nu tuyn b giao dch dn s v hiu s gy thit hi nghim trng cho mt hoc cc bn. Trong trng hp hiu lc ca giao dch c cng nhn m cc bn cha thc hin hon tt ngha v giao vt th phi tip tc thc hin ngha v giao vt; nu cc bn cha hon tt ngha v tr tin th phi tip tc tr khon tin cn thiu, theo t l tng ng tnh theo gi th trng ti thi im thanh ton, tr trng hp cc bn c tha thun khc hoc php lut qui nh khc. Qui nh ny khng p dng i vi hp ng tng cho ti sn, di chc; qui nh ny cng khng p dng i vi cc giao dch khc nu php lut c qui nh minh th v vic loi tr p dng qui nh ti iu ny vi loi giao dch khc . Theo , Khon 2 qui nh iu kin cng nhn hiu lc ca giao dch dn s vi phm hnh thc bt buc, nu p ng c nhng yu cu: Ni dung khon 2 cng d liu trng hp vic thanh ton cha c hon tt m cng nhn hiu lc hp ng c th gy thit hi nghim trng cho bn c thanh ton. Qui nh ny cng loi tr i vi hp ng tng cho ti sn, hoc di chc (l nhng hnh vi php l

83 hon ton da trn ch t nguyn ca c nhn), v cc giao dch m php lut qui nh minh th v trng hp v hiu do vi phm hnh thc. (iii) B sung qui nh v cn c ta n c th tuyn b hp ng v hiu. Theo , nu giao dch b vi phm hnh thc, ng thi cng thiu cc iu kin c d liu ti khon 2 iu 134 (mi), th ta n c th tuyn b giao dch dn s v hiu theo yu cu ca cc bn v gii quyt hu qu php l ca giao dch dn s v hiu theo qui nh chung. Ni dung ny nn thit k thnh khon 3 iu 134 (mi): 3. Nu giao dch dn s c lp khng ng hnh thc do cc bn tha thun hoc php lut qui nh v thiu mt trong cc iu kin qui nh ti khon 2 iu ny (nh va c b sung trn tc gi ch thch), th theo yu cu ca cc bn, to n hoc c quan c thm quyn khc tuyn b giao dch dn s v hiu v gii quyt hu qu ca giao dch dn s v hiu theo iu 137 ca B lut ny. Vic tuyn b hp ng (giao dch dn s) v hiu c xem nh l gii php cui cng, trong trng hp hp ng khng c cc iu kin cn thit c cng nhn l c hiu lc. Khi tuyn b hp ng v hiu, th ta n s x l hu qu php l ca hp ng (giao dch dn s) v hiu theo qui nh chung. KT LUN CHNG 2 1. Da vo bn cht hp ng, php lut Vit Nam qui nh ba iu kin bt buc hp ng c hiu lc: ch th tham gia hp ng c nng lc hnh vi dn s; ni dung, mc ch ca hp ng khng vi phm iu cm ca php lut v khng tri o c x hi; cc bn tham gia hp ng hon ton t nguyn. iu kin c hiu lc ca hp ng l tin php l hp ng c hiu lc. Nhn chung, cc qui nh v vn ny trong php lut Vit Nam hin hnh hon thin v c bn. 2. Hnh thc ca hp ng l iu kin c hiu lc ca hp ng, nu php lut c qui nh. Hp ng c th c lp bng vn bn, li ni, hnh vi c th. Mt s loi hp ng bt buc phi c lp bng vn bn, vn bn c cng chng hoc chng thc. Hp ng vi phm qui nh v hnh thc th khng ng nhin v hiu, m c th b ta n ra quyt nh buc thc hin ng hnh thc lut nh trong mt thi hn, nu cc bn c yu cu. Qu thi hn m hnh thc hp ng khng c hon tt th ta n tuyn b hp ng v hiu v gii quyt hu qu php l ca hp ng v hiu theo qui nh chung. Qua nghin cu cho thy, mt s qui nh ca php lut hin hnh v hnh thc hp ng cn thiu linh hot, cha d liu ht cc kh nng ca

84 thc t; ng li gii quyt tranh chp i vi cc hp ng vi phm hnh thc cha c kh thi v cha phn ha c tng trng hp vi phm c th. Thc tin xt x ca cc cp ta n v hp ng vi phm hnh thc cn nhiu bt cp, thiu nht qun. T , cn phi c nhng sa i, b sung cho ph hp. 3. T cch tip cn vn nh trn, mc 3 a ra mt s kin ngh c th: (i) Sa i, b sung khon 1 iu 401 BLDS 2005 qui nh ny tr nn linh hot, y v tng thch hn so vi qui nh v hp ng trong BLDS ca cc quc gia trn th gii v cc B nguyn tc v hp ng thng mi quc t; (ii) sa i, b sung khon 2 iu 401 lm cho ni dung iu lut ny tr nn ngn gn v thng nht vi cc qui nh khc; (iii) b on 2 khon 2 iu 401; (iv) b sung khon 3 iu 401; (v) sa i, b sung iu 134 BLDS 2005 theo hng bi b cch gii quyt hu qu php l ca giao dch v hiu nh hin nay, v thay vo l ng li gii quyt mi, bng cch qui nh cc cn c c th cng nhn, hoc khng cng nhn gi tr php l ca giao dch, nu giao dch b vi phm hnh thc m cc bn c tranh chp.

85 Chng 3

THI IM C HIU LC CA HP NG
Thi im c hiu lc ca hp ng l yu t php l quan trng xc nh thi hn c hiu lc ca hp ng - mt trong nhng mt biu hin ca hiu lc hp ng. K t thi im hp ng c hiu lc, quyn v ngha v ca cc bn pht sinh, hiu lc rng buc ca hp ng v gi tr php l ca hp ng c php lut tn trng v bo m thc hin. C l v vy m c kin cho rng: thng th khi ni ti hiu lc ca hp ng, ch yu ngi ta thng ni ti thi im c hiu lc ca hp ng [38, tr.37]. Chng ny trnh by ba vn : khi nim, qui nh chung v thi im c hiu lc hp ng, thc trng php lut v thc tin p dng cc qui nh hin hnh v thi im c hiu lc ca hp ng, v cc kin ngh hon thin php lut v thi im c hiu lc ca hp ng. 3.1. THI IM C HIU LC CA HP NG: KHI NIM V QUI NH CHUNG 3.1.1. Khi nim thi im c hiu lc ca hp ng Hiu lc ca hp ng xt v mt thi gian, l thi hn m hp ng c hiu lc. l khong thi gian c xc nh t khi hp ng bt u pht sinh hiu lc cho n khi hp ng chm dt. Trong , thi im hp ng bt u c hiu lc l mt trong nhng yu t php l quan trng xc nh hiu lc ca hp ng, v l mc xc nh thi hn c hiu lc ca hp ng. Nh vy, c th hiu thi im c hiu lc ca hp ng l mc xc nh thi im khi lu ca hiu lc ca hp ng. BLDS 2005 khng nh ngha thi im c hiu lc ca hp ng, m ch qui nh c th v cc thi im c hiu lc ca hp ng: Hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc. Thi im giao kt hp ng ni y c qui nh c th ti iu 404 BLDS 2005. Vi qui nh ny, nh lm lut Vit Nam tha nhn ng thi hai loi thi im khc nhau: thi im giao kt v thi im c hiu lc ca hp ng. C th ni, qui nh ny l mt im php l kh th v v c th, v cc BLDS trn th gii hoc cc B Nguyn tc hp ng thng mi quc t u khng c qui nh tng t nh vy.

86 Mt s kin cho rng, cc qui nh ca BLDS Vit Nam t nhiu chu nh hng t cc BLDS ca Php [10], [122, tr.17 8], c, Nga [256, tr. 83 4], thm ch l ca Nht. Nhng tm trong BLDS ca cc nc ni trn, cng nh cc B Nguyn tc hp ng thng mi quc t u khng thy cc qui nh tng ng nh iu 405 BLDS 2005. Hu ht cc b php in v Lut Hp ng trn th gii u qui nh v mt loi thi im l thi im giao kt hp ng, v thi im giao kt cng l thi im c hiu lc ca hp ng. Vic xc nh thi im giao kt hp ng trong hu ht cc b php in ny u da vo phng thc giao kt. Thi im giao kt hp ng vi ngi c mt thng l thi im cc bn tha thun xong ni dung ca hp ng. Tuy nhin, qui nh v thi im giao kt hp ng vi ngi vng mt trong cc b php in li c mt s khc bit c bn. Theo cc lut gia, vic qui nh v thi im giao kt hp ng trong trng hp ny thng da theo mt trong cc hc thuyt: thuyt tuyn b ch, thuyt vn tng (hay by t), thuyt tip nhn v thuyt thng t [168, tr.99 100; 227, tr.38]. BLDS c khng qui nh v thi im c hiu lc ca hp ng, nhng c qui nh chung v thi im c hiu lc ca s tuyn b ch, v qui nh ny cng c p dng c vi vic giao kt hp ng: Tuyn b ch i vi mt ngi vng mt c hiu lc vo thi im ngi nhn c tuyn b (khon 1 iu 130). BLDS Nga cng c qui nh tng t: hp ng c giao kt ti thi im bn ngh nhn c th tr li chp nhn (khon 1 iu 433). Qui nh ny ca BLDS Nga tng ng vi qui nh ti khon 1 iu 404 BLDS 2005 ca Vit Nam. Khc vi cc BLDS ca c v Nga, BLDS ca Php khng c qui nh v thi im giao kt hp ng ni chung, m ch c qui nh v thi im c hiu lc ca hai hp ng c th l hp ng tng cho (iu 932) v hp ng y quyn (khon 2 iu 1985). V thi im c hiu lc ca hp ng ni chung, n l ca Php cho rng, vic xc nh thi im c hiu lc ca hp ngthuc thm quyn ca ta n, v theo quan im mi y ca Ta Phc thm, trng hp cc bn khng c kin ngc li, th p dng thuyt by t, tc l khi bn c ngh trao th tr li chp nhn cho bu in [227, tr.38]. BLDS ca Nht Bn cng da trn thuyt by t (vn tng) khi qui nh rng: Hp ng giao kt vi nhng ngi vng mt c hiu lc t thi im tr li chp nhn c chuyn i (on 1 iu 526). Qui nh ny ca Nht cng tng

87 ng vi nguyn tc th c gi i - postal rule (hay mail-box rule) ca cc nc theo h thng php lut Anh - M: hp ng c giao kt ti thi im th tr li chp nhn c gi i [108, tr.248 9; 335, tr.59 61; 341, tr.49 -50]. Xem xt qui nh ti khon 1 iu 404 BLDS 2005 cho thy, lut Vit Nam chu nh hng ch yu bi thuyt tip nhn: thi im hp ng giao kt vi ngi vng mt l thi im bn ngh nhn c th tr li chp nhn. Ni tm li, thi im c hiu lc ca hp ng l thi im bt u s rng buc php l gia cc bn, lm pht sinh quyn v ngha v ca cc bn trong hp ng, m k t thi im cc bn khng c n phng thay i hoc rt li cc cam kt trong hp ng v phi chu trch nhim dn s nu khng thc hin hoc thc hin khng ng cc ngha v dn s pht sinh t hp ng. Vic xc nh ng thi im c hiu lc ca hp ng c ngha php l quan trng c v mt l lun v thc tin sau y: (1) V mt l lun, vic xc nh hiu lc v thi im c hiu lc ca hp ng l c s phn loi hp ng. Da vo tiu ch ny, hp ng c chia thnh hp ng ng thun v hp ng thc t [243, tr.104 5]. Theo , hp ng ng thun l hp ng m theo qui nh ca php lut, quyn v ngha v gia cc bn pht sinh ngay sau khi cc bn tha thun xong ni dung ch yu ca hp ng. V d: hp ng mua bn ti sn, hp ng thu ti sn. Hp ng thc t l hp ng m sau khi tha thun, hiu lc ca n ch pht sinh ti thi im cc bn chuyn giao cho nhau i tng ca hp ng. V d: hp ng mn ti sn, hp ng cm c ti sn (2) V mt php l, thi im c hiu lc ca hp ng l c s php l xc nh thi im pht sinh quyn v ngha v ca cc bn trong hp ng. K t thi im ny, cc bn chnh thc to lp nn quan h php lut v hp ng, ng thi cc bn khng th t rt li, sa i, hy b cam kt trong hp ng. Cng t thi im ny, hp ng c hiu lc rng buc cc bn ging nh php lut. Bn c quyn c php yu cu bn c ngha v thi hnh ngha v trong hp ng, v c hng mi quyn li hp php pht sinh t hp ng. Cn bn c ngha v phi thc hin ng cc ngha v cam kt trong hp ng, v phi chu trch nhim dn s trc bn c quyn v vic vi phm hp ng. (3) i vi cc hp ng c cng chng, chng thc hoc ng k theo qui nh ca php lut, vic xc nh ng thi im c hiu lc ca hp ng khng ch

88 xc nh thi im hp ng c hiu lc rng buc i vi cc bn (i vi hp ng c cng chng, chng thc), m cn c ngha quan trng trong vic xc nh hp ng c gi tr php l i khng vi ngi th ba, thc hin quyn u tin thanh ton, bo v ngi th ba ngay tnh. V d: hp ng c cng chng th c gi tr php l i vi cc bn lin quan [136, Khon 3 iu 4, v khon 1, 2 iu 6]; hoc mt ti sn dng bo m cho nhiu mn n khc nhau m gi tr khng thanh ton cho ton b cc mn n, hp ng bo m gia cc ch n vi ngi mc n u c ng k, p dng nguyn tc ai ng k hp ng trc th c u tin thanh ton trc t tin bn ti sn bo m [15, Khon 3 iu 323 v iu 325]; hoc bo v quyn u tin thanh ton ca bn nhn bo m ngay tnh [186, khon 2, 3 iu 13, v im a, b Khon 1 iu 20]. (4) Vic xc nh thi im c hiu lc ca hp ng l cn c php l ta n hoc c quan c thm quyn xc nh thi im cc bn b xem l vi phm hp ng, v a ra ng li xt x ph hp nhm buc bn vi phm phi gnh chu trch nhim dn s tng ng. Theo , nu hp ng c hiu lc m cc bn khng tun th, th ta n hoc c quan c thm quyn ra quyt nh buc bn vi phm phi thc hin ng hp ng v/hoc bi thng thit hi do vi phm hp ng; nu hp ng cha c hiu lc, th ty trng hp c th m ta n c th cng nhn hoc khng cng nhn hp ng; nu hp ng cha pht sinh hiu lc th c th xc nh hiu lc rng buc ngha v tin hp ng v trch nhim dn s tng ng: trch nhim do t chi giao kt hp ng mt cch tri php lut, trch nhim bi thng thit hi do giao kt hp ng vi ngi th ba trong thi gian ch tr li lm thit hi cho bn kia, trch nhim do sa i hoc rt li ngh mt cch tri php lut... 3.1.2. Qui nh chung v thi im c hiu lc ca hp ng Theo qui nh ti iu 405 BLDS 2005, thi im c hiu lc ca hp ng c xc nh l mt trong ba thi im sau y: 3.1.2.1. Thi im giao kt hp ng V nguyn tc, khi cc bn khng c tha thun v php lut khng c qui nh khc, th hp ng mc nhin c hiu lc vo thi im giao kt. Thi im giao kt hp ng thng l thi im cc bn tha thun xong ni ca hp ng, hay khi bn

89 ngh nhn c tr li chp nhn hp l10 ca bn c ngh. Nh phn tch, php lut Vit Nam xc nh thi im giao kt hp ng da trn nguyn tc tuyn b ch, tc da vo hnh thc cng b ch th hin s tha thun. C th: - Hp ng c tha thun trc tip bng li th thi im giao kt hp ng l thi im bn ngh nhn c tr li chp nhn ca bn c ngh; - Nu hp ng giao kt bng vn bn th thi im giao kt l thi im bn sau cng k vo vn bn; - Nu hp ng giao kt bng th tn, qua bu in th hp ng c giao kt vo ngy bn ngh nhn c th tr li chp nhn hp l; - Nu cc bn c tha thun hoc php lut c qui nh im lng l ng giao kt hp ng, th hp ng c xem l giao kt ti thi im ht thi hn tr li m bn c ngh vn im lng. V d: theo qui nh ti khon 1 iu 460 BLD 2005, trong hp ng mua ti sn sau khi dng th, khi ht thi hn dng th m ngi mua dng th vn im lng th coi nh chp nhn giao kt hp ng. - Hp ng giao kt bng phng tin in t th vic giao kt cn phi tun theo cc qui nh c th ca php lut v giao dch in t. Theo Lut Giao dch in t 2005, trong giao kt hp ng, tr trng hp cc bn c tha thun khc, ngh giao kt hp ng v chp nhn giao kt hp ng c th c thc hin thng qua thng ip d liu (khon 2 iu 36). Theo qui nh ti cc iu 18, 19, 20 ca Lut Giao dch in t 2005, v khon 2 iu 11 Ngh nh 57/2006/N-CP ngy 09/06/2006, th thi im nhn thng ip d liu l thi im ngi nhn c th truy cp c chng t in t ti mt a ch in t do ngi nhn ch ra. Thi im nhn mt chng t in t a ch in t khc ca ngi nhn l thi im ngi nhn c th truy cp c chng t in t ti a ch ny v ngi nhn bit r chng t in t c gi ti a ch ny. Theo qui nh ny th Ngi nhn c coi l c th truy cp c mt chng t in t khi chng t in t ti c a ch in t ca ngi nhn. C th thy, ty theo hnh thc th hin s tha thun gia cc bn m php lut qui nh thi im giao kt tng ng. Nhn nhn vn ny nhiu hc gi cho
Theo qui nh ti iu 396 v iu 397 BLDS 2005, c th hiu tr li chp nhn giao kt hp ng hp l nu ngi c ngh tr li chp nhn ton b ni dung ca ngh v nu ngh c nu thi hn tr li th vic tr li phi trong thi hn .
10

90 rng, khng nn qu l thuc vo yu t hnh thc xc nh thi im giao kt hp ng v lm nh th l tri vi bn cht ca hp ng [115, tr.15]. Tuy vy, tc gi cho rng khng nn ch ch trng vo ch ch thc, v ch l yu t ch quan ca mi ngi. ch s khng th c bit n, nu khng c cng b ra bn ngoi di mt hnh thc khch quan nht nh. Khi ch ca mi bn khng c cng b th cng khng th to ra s thng nht ch ca cc bn. Trn th gii, khng c B php in v Lut Hp ng no thun ty ch da trn yu t ch hoc hnh thc biu l ch xc nh thi im giao kt hp ng. Ngay c vi BLDS ca c vn c xem l chp nhn thuyt tuyn b ch v BLDS Php c xem l chp nhn l thuyt ch ch thc, th cc qui nh v giao kt hp ng vn da trn c hai l thuyt trn [168, tr.88 9]. Vic xc nh thi im giao kt hp ng c ngha php l rt quan trng, v y l thi im xc nh s gp g ch v s thng nht ch ca cc bn. y cn l c s cng nhn hiu lc ca hp ng, v nu hp ng mang tnh cht ng thun th s lm pht sinh quyn v ngha v php l rng buc cc bn ti thi im giao kt hp ng. K t thi im hp ng c giao kt, cc bn phi c trch nhim thc hin cc ngha v i vi nh nc nhm hon tt cc yu cu php l hp ng c hiu lc, nh hon tt th tc ng k quyn s hu ti sn hoc quyn s dng t, np thu hoc cc khon l ph theo qui nh ca php lut. Trong nhiu trng hp, thi im giao kt hp ng cn l c s xc nh thi im chn lut p dng khi gii quyt tranh chp hp ng, tr nhng tha thun c lin quan ti li ch chung hoc trt t cng cng, do nh hng ca nguyn tc hiu lc lut php bt hi t trong vic p dng php lut dn s [169, tr.3937]. Theo nhiu vn bn hng dn p dng php lut trong lnh vc dn s, khi xem xt hiu lc ca hp ng, hiu lc ca cc iu khon lin quan trong hp ng, ta n thng cn c vo vn bn php lut ang c hiu lc ti thi im giao kt hp ng [196, Mc 3; 195, Mc 2]. Mt khc, thi im giao kt hp ng cn l c s xc nh nng lc php lut dn s v nng lc hnh vi dn s ca ch th tham gia hp ng. Ngoi ra, thi im giao kt hp ng cn l mc tnh thi hiu khi kin trong vic gii quyt cc tranh chp lin quan ti vic tuyn b hp ng v hiu [15, iu 136].

91 3.1.2.2. Thi im do cc bn tha thun V nguyn tc, hp ng c hiu lc ti thi im giao kt, nhng cc bn c th tha thun hp ng pht sinh hiu lc ti mt thi im khc. Qui nh ny da trn c s nguyn tc t do hp ng. V cc bn c quyn t do tha thun ni dung hp ng, nn cng c quyn t do la chn thi im c hiu lc ca hp ng. Tt nhin, cc bn c th tha thun thi im c hiu lc ca hp ng khc vi qui nh ca php lut, nhng khng c tri php lut hoc tri vi bn cht ca hp ng. Trong thc tin, khi cc bn m phn v son tho hp ng, khng t trng hp cc bn tha thun thi im c hiu lc ca hp ng l mt thi im xc nh, khc vi thi im giao kt v thi im c hiu do lut nh. V d: Trong Qui tc iu khon sn phm bo him Nht nin gia hn ca Cng ty Bo him Quc t M AIA (Vit Nam), c ni dung nh sau: Ngy c hiu lc ca hp ng: nu h s bo him c Cng ty chp thun, ngy c hiu lc ca hp ng l ngy ch hp ng hon tt h s yu cu bo him v np ph bo him u tin.11 Hay trong iu 2 ca iu khon An khang thnh vng ca Cng ty Bo him Vit Nam (Bo Vit) qui nh nh sau: Hp ng pht sinh hiu lc khi Bo Vit nhn c Giy yu cu bo him v ph bo him u tin theo Ha n thu ph bo him u tin do Bo Vit pht hnh.12 Trong thc tin thng mi quc t, vic cc bn tha thun thi im c hiu lc ca hp ng khc vi thi im giao kt hp ng cng din ra kh ph bin. Trong nhiu trng hp, cc bn loi tr mt cch c ch hiu lc ca cc tuyn b giao kt hp ng [230, tr.123]. V d: mc d cc bn giao kt xong ton b ni dung ca hp ng, nhng li a ra iu khon xc nhn hiu lc: cho n khi hp ng ny c ph chun ca ngi c thm quyn ca cng ty, hoc cho n khi c lnh o ca hai cng ty k kt chnh thc. H qu php l ca vic ny l hp ng ch c th pht sinh hiu lc vo thi im c xc nh k trn. Trong cc b nguyn tc v hp ng quc t cng c cc iu khon d liu v nhng trng hp ny. V d: theo iu 2.1.13 PICC, cc bn c th xc nhn vic giao kt hp ng ph thuc vo s tha thun v mt s vn lin quan n hnh thc hay ni dung ca hp ng.
11 12

c B Ti chnh ph chun bi Cng vn s 3365 TC/TCNH ngy 18/8/2000. c B Ti chnh ph chun bi Cng vn s 2755 TC/TCNH ngy 28/3/2001.

92 3.1.2.3. Thi im do php lut qui nh Nu php lut qui nh thi im hp ng c hiu lc l thi im hp ng c lp theo ng hnh thc nht nh, th ch khi cc bn tun theo hnh thc , hp ng mi c hiu lc. Trong nhng trng hp c th cn c s kim sot cht ch v th tc xc lp hp ng v bo v cc bn thiu kinh nghim trc nhng quyt nh bt ng, nh lm lut thng qui nh hp ng phi c lp bng cc hnh thc vn bn c cng chng, chng thc hoc ng k. Theo php lut Vit Nam, thi im c hiu lc ca cc hp ng sau y l do php lut qui nh: - Hp ng tng cho bt ng sn c ng k c hiu lc ti thi im hp ng c lp bng hnh thc vn bn c cng chng, chng thc v ti sn tng cho c ng k quyn s hu [15, iu 467, tr thi im c hiu lc ca hp ng tng cho nh c xc nh theo Lut Nh [151, khon 5 iu 93]; - Hp ng chuyn quyn s dng t c hiu lc t thi im ng k quyn s dng t theo quy nh ca php lut v t ai [15, iu 692] v theo php lut t ai th hp ng chuyn i, chuyn nhng, thu, thu li quyn s dng t; hp ng hoc vn bn tng cho quyn s dng t; hp ng th chp, bo lnh, gp vn bng quyn s dng t c hiu lc k t thi im ng k ti Vn phng ng k quyn s dng t. Th t u tin thanh ton ngha v lin quan n quyn s dng t c xc nh theo th t ng k ti Vn phng ng k quyn s dng t [193, khon 4 iu 146]; - Giao dch bo m c hiu lc k t thi im cng chng hoc chng thc trong trng hp php lut c quy nh [15, khon 2 iu 323]. Trong mt s trng hp c th, th thi im c hiu lc ca hp ng do php lut qui nh c th, nh: cm c ti sn c hiu lc k t thi im chuyn giao ti sn cho bn nhn cm c [15, iu 328]; hp ng th chp quyn s dng t, quyn s dng rng, quyn s hu rng sn xut l rng trng, tu bay, tu bin c hiu lc k t thi im ng k th chp [186, khon 1 iu 10]; - Hp ng chuyn giao cng ngh thuc Danh mc cng ngh hn ch chuyn giao ch c hiu lc sau khi c c quan nh nc c thm quyn cp Giy php chuyn giao cng ngh [134, khon 2 iu 19]; - i vi cc loi quyn s hu cng nghip c xc lp trn c s ng k theo quy nh ti im a khon 3 iu 6 ca Lut SHTT 2005, hp ng chuyn

93 nhng quyn s hu cng nghip ch c hiu lc khi c ng k ti c quan qun l nh nc v quyn s hu cng nghip [152, khon 1 iu 148] Thng th thi im hon tt th tc lut nh l thi im hp ng c hiu lc i vi cc bn. Trong nhiu trng hp, thi im hon tt th tc ch l thi im hp ng c gi tr php l i vi ngi th ba. V d: giao dch bo m c gi tr php l i vi ngi th ba, k t thi im ng k [15, khon 3 iu 323]; hp ng s dng i tng s hu cng nghip c hiu lc theo tho thun gia cc bn, nhng ch c gi tr php l i vi bn th ba khi c ng k ti c quan qun l nh nc v quyn s hu cng nghip, nu i tng ca hp ng l loi quyn s hu cng nghip c xc lp trn c s ng k theo quy nh ti im a khon 3 iu 6 ca Lut ny [152, khon 2 iu 148]. i khi, php lut cn qui nh thi im c hiu lc ca hp ng i vi cc bn ng thi cng l thi im hp ng c gi tr php l i vi ngi th ba, v d hp ng th chp, bo lnh bng quyn s dng t. 13 Ni tm li, thi im giao kt v thi im c hiu lc ca hp ng l hai loi thi im khc nhau. Thi im c hiu lc ca hp ng do cc bn tha thun. Nu cc bn khng c tha thun th thi im c hiu lc ca hp ng l thi im do php lut qui nh. Nu cc bn khng c tha thun v php lut cng khng c qui nh th hp ng c hiu lc t thi im giao kt hp ng. 3.1.3. Hp ng c iu kin v thi im c hiu lc ca hp ng c iu kin 3.1.3.1. Khi nim hp ng c iu kin Ngoi vic xc nh thi im c hiu lc ca hp ng da vo qui nh chung nh va trnh by, nguyn tc t do hp ng cn cho php cc bn tha thun v cc s kin, cc iu kin khc lm pht sinh, hoc chm dt hiu lc hp ng. Hp ng c thi im pht sinh hay chm dt hiu lc l thuc vo cc iu kin khc nh vy, c gi l hp ng c iu kin. Theo qui nh ti khon 6 iu 406 BLDS 2005 th Hp ng c iu kin l hp ng m vic thc hin ph thuc vo vic pht sinh, thay i hoc chm dt mt

Xem thm: Tiu mc I.8.1 v I.8.4 Thng t lin tch s 05/2005/TTLT-BTP-BTNMT ngy 16/6/2005 (sa i bi TTLT s 03/2006/TTLT-BTP-BTNMT ngy 13/6/2006: Hp ng th chp, bo lnh bng quyn s dng t c hiu lc k t thi im ng k; Vic th chp, bo lnh bng quyn s dng t c gi tr php l i vi ngi th ba k t thi im ng k.

13

94 s kin nht nh. V mt l lun, khi nim hp ng c iu kin cn c hiu l nhng hp ng m khi giao kt, bn cnh vic tha thun v ni dung ca hp ng cc bn cn tha thun xc nh v mt s kin khi s kin xy ra th hp ng mi c thc hin hoc phi chm dt [243, tr.105]; hoc nhng hp ng trong cc bn tha thun v mt hay nhiu s kin l iu kin m ch khi iu kin xy ra hoc khng xy ra th hp ng mi c coi l pht sinh hay chm dt hiu lc [117, tr.29]. Khi ni ti hp ng c iu kin, ngi ta thng ni ti hai loi l hp ng c iu kin pht sinh v hp ng c iu kin chm dt. to tin l lun cho vic nhn thc v thi im c hiu lc ca hp ng, mc ny ch trnh by v hp ng c iu kin pht sinh. Theo kin ca mt lut gia th Hp ng vi cc s kin l iu kin pht sinh l hp ng c giao kt nhng cn ch iu kin mi lm pht sinh hiu lc, mi lm pht sinh hu qu php l [117, tr.29]. V d: A tha thun tng cho B mt cn nh, vi iu kin B phi chm sc A lc tui gi. y, vic B chm sc A lc tui gi l iu kin lm pht sinh hiu lc ca hp ng tng cho ti sn. S kin ny hon ton khc vi cc iu kin c hiu lc ca hp ng, tc l khc vi cc yu cu php l hp ng c coi l hp php. Mt trong nhng vn php l c bn ca hp ng c iu kin chnh l vn iu kin - s kin lm pht sinh hoc chm dt hiu lc hp ng. BLDS 2005 tuy c qui nh v giao dch c iu kin (iu 125) v hp ng c iu kin (khon 6 iu 406), nhng khng gii thch khi nim iu kin l g. Tuy vy, iu kin ni y khng phi l iu kin c hiu lc ca giao dch dn s (iu 122), m iu kin y c hiu l mt hoc nhiu s kin thc t c th xy ra hoc chm dt lm c s xc nh hp ng (giao dch) s pht sinh hiu lc, c thc hin hoc b hy b. Theo qui nh ti khon 1 iu 125 BLDS 2005 th iu kin bao gm hai loi l iu kin pht sinh v iu kin hy b: Trong trng hp cc bn c tha thun v iu kin pht sinh hoc hy b giao dch dn s th khi iu kin xy ra, giao dch dn s pht sinh hoc hy b. Nhng iu kin khng c ngha ch l mt s kin m c th bao gm nhiu s kin, khi hi cc s kin ny th mi coi l s kin xy ra. Hn na, s kin ni y khng ch l nhng s kin xy ra m cn c c nhng s kin khng xy ra [117, tr.29].

95 3.1.3.2. Thi im c hiu lc ca hp ng c iu kin Thi im hp ng c iu kin pht sinh hiu lc l thi im hp ng c xc lp v iu kin ca hp ng xy ra. Thiu mt trong hai yu t trn th hp ng cha c hiu lc. V d: theo qui nh ti iu 470 BLDS 2005, hp ng tng cho ti sn c iu kin c hiu lc ti thi im ti sn c giao v cng vic (iu kin ca hp ng) c thc hin xong. Nu cng vic c thc hin xong m ti sn cha giao th hp ng tng cho cha c hiu lc, v bn lm cng vic ch c th yu cu thanh ton ngha v ch khng c i bn kia giao ti sn (khon 2 iu 470); ngc li, nu ti sn giao m cng vic khng c thc hin th hp ng cng cha c hiu lc, bn tng cho c quyn ly li ti sn tng cho v yu cu bi thng thit hi (khon 3 iu 470). c gi tr lm pht sinh hiu lc ca hp ng, iu kin ca hp ng phi p ng c nhng yu cu sau y: (i) phi l nhng s kin c th xy ra trong tng lai. Cc s kin xy ra khng th l s kin lm pht sinh, thay i, chm dt hiu lc ca hp ng c iu kin; (ii) Nu iu kin l hnh vi, hoc cng vic c th th hnh vi hoc cng vic khng vi phm iu cm ca php lut hoc tri o c x hi; (iii) Nu iu kin l cng vic phi lm th cng vic phi kh thi. Suy cho cng, hp ng c iu kin pht sinh l hp ng m thi im c hiu lc ca n l do cc bn tha thun, v iu kin lm pht sinh hiu lc ca hp ng l s kin php l do cc bn tha thun, v thi im ny khc vi thi im giao kt hp ng v thi im c hiu lc ca hp ng (do lut nh) theo qui nh chung ti iu 404 v iu 405 BLDS 2005. 3.2. MT S BT CP TRONG PHP LUT V THC TIN P DNG CC QUI NH V THI IM C HIU LC CA HP NG 3.2.1. Qui nh v thi im giao kt hp ng ti iu 404 B lut Dn s 2005 vn cn nhiu im bt cp, thiu st v cha hp l 3.2.1.1. Qui nh nh iu 404 l cha l gch v cha cht ch iu 404 BLDS 2005 qui nh thi im giao kt hp ng da vo hnh thc giao kt hp ng. iu ny l cha l gch v cha cht ch, bi cc l do sau y: Th nht, trong cc b php in v hp ng trn th gii, ngi ta thng xc nh thi im giao kt hp ng da vo hai yu t: phng thc giao kt v hnh

96 thc tr li chp nhn giao kt. Theo , trong cc b php in ca cc nc Chu u lc a, cng nh cc nc theo Thng lut u tha nhn thi im giao kt hp ng vi ngi c mt (giao kt trc tip) l thi im tha thun xong ni dung hp ng, v qui nh ny bt buc ngi c ngh phi tr li ngay hoc gn nh ngay lp tc (virtually instantaneous) [341, tr.52]. Cn giao kt hp ng vi ngi vng mt (giao kt gin tip) th ty theo truyn thng php l m cng nhn l hp ng giao kt khi th tr li c gi i, hoc khi bn ngh nhn c th tr li chp nhn, nh phn tch trong phn trc. Trong khoa hc php l, cc lut gia cng tha nhn nguyn tc ca vic xc nh thi im giao kt hp ng l da trn phng thc giao kt ca hp ng [77, tr.121]. Hp ng c th c giao kt bi mt trong hai phng thc l phng thc giao kt trc tip v phng thc giao kt gin tip. Phng thc giao kt trc tip l vic cc bn hoc i din hp php ca cc bn gp g trc tip (hoc gi in thoi trc tip) bn bc v i n s thng nht cc ni dung ca hp ng. Phng thc giao kt gin tip l vic cc bn tham gia giao dch khng cn phi trc tip gp nhau m phn v ni dung ca hp ng m ch cn trao i thng tin thng qua cc phng tin thng tin, lin lc nh th tn, in tn, mng Internet [77, tr.119]. Mt khc, thi im giao kt hp ng cn ph thuc vo hnh thc tr li chp nhn. Nh vy, bt lun bn ngh s dng hnh thc ngh l g, th thi im giao kt hp ng vn ph thuc phng thc giao kt v hnh thc ca vic tr li chp nhn. V d: khch hng A gi thng ip d liu cho doanh nghip B (bn hng trn mng) ngh mua mt my nh loi X, vi gi Y, phng thc thanh ton Z, v giao hng ti a ch K. B gi vn bn (bng th bo m) xc nhn s ng i vi n t hng ca A v ha s giao hng ng nh n t hng. y l phng thc giao kt gin tip v hnh thc tr li bng vn bn, thng qua vic gi th bo m. Nh vy, thi im giao kt khng phi l thi im bn sau cng k vo vn bn, m l thi im bn c ngh nhn c tr li chp nhn. Cng trong tnh hung trn, nu B khng tr li bng li ni, hay gi th xc nhn (vn bn), m li im lng mang hng ha hoc gi hng ha qua bu in giao hng cho A theo ng yu cu ca n t hng. y l hnh thc tr li chp nhn giao kt hp ng bng hnh vi c th. Tuy vn ny cha c iu 404 qui nh r, nhng cn c

97 vo phng thc giao kt v hnh thc tr li chp nhn, th trng hp ny hp ng c xem l giao kt ti thi im hnh vi giao hng c thc hin hon thnh. Th hai, trong thc tin, khng phi lc no cc bn cng ch s dng mt hnh thc duy nht giao kt hp ng vi nhau, m c th s dng ng thi nhiu hnh thc khc nhau giao kt hp ng. Mt khc, php lut cng khng cm v cng khng c qui nh no bt buc cc bn phi giao kt hp ng bng mt hnh thc duy nht. Cc bn c th thc hin vic giao kt hp ng, ngh v tr li chp nhn ngh bng mt, hoc bng nhiu hnh thc khc nhau. V d: bn ngh gi cho hng bng vn bn, cn bn c ngh c th tr li bng li ni trc tip, hoc bng cch gi in thoi, bng vn bn, hoc bng hnh vi c th. Trong trng hp ny, chng ta khng th xc nh thi im giao kt hp ng da vo hnh thc hp ng nh qui nh ti iu 404 BLDS 2005, m phi xc nh thi im giao kt hp ng da trn hnh thc ca s tr li giao kt v phng thc giao kt. Tm li, trong nhng trng hp nh vy, nu da vo qui nh ti iu 404 BLDS 2005 th s khng xc nh c l hp ng giao kt vo thi im no, v iu 404 ch cp n vic giao kt hp ng bng mt hnh thc xc nh, ch khng qui nh vic giao kt hp ng bng nhiu hnh thc khc nhau. iu ny cho thy ni dung ca iu 404 BLDS 2005 l cha cht ch. Trong thc tin xt x, ta n cng gp nhiu lng tng trong trng hp cc bn s dng ng thi nhiu hnh thc v phng thc khc nhau giao kt mt hp ng. V d: Bn n s 195/2007/KDTM-PT ngy 09-10-2007 ca Ta Phc thm TANDTC ti H Ni V/v: tranh chp hp ng bo him gia nguyn n l Cng ty Vt t vn ti v xy dng cng trnh giao thng, vi b n l Cng ty c phn bo him Vin ng (Xem Ph lc s 02). Trong v n ny, cc bn khng thng nht c vi nhau v thi im giao kt hp ng bo him. Nguyn n (bn mua bo him) cho rng hp ng c giao kt vo 11h00 ngy 20/12/2004. Cn b n (bn bo him) cho rng hp ng c giao kt sau 11h10 pht ngy 20/12/2004, tc sau khi s kin bo him xy ra v ti sn bo him khng cn tn ti. Trn thc t, vo khong 11h00 ngy 20/12/2004, bn mua bo him gi in thoi v gi vn bn (mu n yu cu bo him do bn bo him cung cp trc ) ngh b n cp n bo him. Cn bn c ngh l b n (doanh nghip bo him) tr li trc tip bng in thoi v vic ng giao kt hp ng

98 bo him vo cng thi im bn mua bo him gi in thoi. ng thi ngay sau (khong 11h10 pht cng ngy), bn bo him cn th hin s ng bng cch k tn, ng du vo vn bn (n bo him). Tuy nhin, vic bn bo him gi vn bn ny cho bn mua bo him hay cha, th khng thy cp trong cc bn n. Ti Bn n s thm s 21/2007/KDTM-ST ngy 05/3/2007, TAND Tp. H Ni kt lun hp ng c giao kt vo thi im bn bo him k tn ng du vo n bo him. Cp phc thm khng phn bc lp lun ni trn ca cp s thm, nhng hy n s thm v cho rng, cha c cn c xc nh s kin chy xy ra trc hay sau thi im giao kt hp ng m cp phc thm khng th b sung. Nhn xt: 1. S bt ng ca hai bn ng s ch yu l vn thi im c hiu lc ca hp ng pht sinh trc hay sau thi im xy ra s kin bo him. Trong hp ng bo him, yu t thi im pht sinh hiu lc l vn php l c bit quan trng v y khng ch thun ty l thi im pht sinh quyn, ngha v, trch nhim ca cc bn m cn lin quan n s kin bo him v trch nhim bo him. Thi im c hiu lc ca hp ng bo him l iu khon c bn ca hp ng bo him. ng tic l trong khi tha thun, cc bn khng c s lu c bit n ni dung ny. Do vy, vic xc nh thi im giao kt v c hiu lc ca hp ng bo him s cn c vo iu 15 Lut Kinh doanh bo him 2000: Trch nhim bo him pht sinh khi hp ng bo him c giao kt hoc khi c bng chng doanh nghip bo him chp nhn bo him v bn mua bo him ng ph bo him, tr trng hp c tho thun khc trong hp ng bo him. Nhng trong v n ny,thi im giao kt v thi im doanh nghip bo him chp nhn bo him th cha xc nh c, v cc bn ang tranh chp, cha thng nht. 2. Trong v ny, c hai cp xt x vn cn lng tng trong vic xc nh thi im giao kt v thi im c hiu lc ca hp ng do cha xem xt k phng thc giao kt v hnh thc tr li chp nhn giao kt hp ng. Trn thc t, c hai cp ta cn c vo phng thc giao kt gin tip, v da vo hnh thc hp ng bng vn bn xc nh thi im giao kt hp ng. Xc nh nh vy l khng hp l v cng khng chnh xc v ba l do: (i) Nu cn c vo phng thc giao kt hp ng trc tip bng in thoi, th theo khon 3 iu 404 BLDS 2005 (nh khon 3 iu 403 BLDS 1995), hp ng

99 c giao kt vo thi im cc bn tha thun xong (bng in thoi) ni dung ca hp ng, ch khng phi l lc bn bo him k tn, ng du vo n bo him; (ii) Nu cn c vo hnh thc giao kt hp ng bng vn bn v phng thc giao kt hp ng gin tip, th hp ng vn cha c giao kt v theo khon 1 iu 403 BLDS 1995 (nay l khon 1 iu 404 BLDS 2005), hp ng c giao kt t thi im bn ngh nhn c tr li chp nhn. Vic n bo him mi c k bi ngi i din bn bo him v ng du m cha c gi i th cha phi l quyt nh cui cng ca bn bo him v vic chp nhn giao kt hp ng, v bn bo him vn c quyn khng gi i, hoc thay i ni dung, hoc hy b n bo him trn; (iii) Nu da vo hnh thc giao kt hp ng bng vn bn xc nh thi im giao kt hp ng l khi doanh nghip bo him k tn, ng du vo n bo him (bn sau cng k vo vn bn), th s dn ti mu thun vi qui nh ti khon 1 iu 404: thi im giao kt hp ng vi ngi vng mt l thi im bn ngh nhn c tr li chp nhn. Mt khc, trong cc bn n, ta t chi p dng qui nh ti khon 4 iu 404, nn ta cng khng th cn c vo qui nh ny kt lun hp ng giao kt vo thi im bn sau cng k vo vn bn. Nh vy, bt lun da vo cn c no c qui nh ti iu 404 BLDS 2005 xem xt thi im giao kt hp ng trong trng hp ni trn, ta n cng u ri vo tnh hung kh khn c th a ra kt lun c cn c v thuyt phc. V vy, iu 404 BLDS 2005 rt cn c sa i, b sung cho ph hp vi yu cu thc tin. Tm li, xc nh ng thi im giao kt v c hiu lc ca hp ng trong trng hp ny, cn phi xc nh ng phng thc giao kt hp ng gia cc bn, v hnh thc tr li chp nhn ca bn c ngh. Thc t v n trn cho thy, cc bn s dng ng thi hai phng thc khc nhau giao kt hp ng, v bn c ngh tr li bng hai hnh thc khc nhau: bng in thoi v bng vn bn. Trong trng hp , ta n nn chn phng thc giao kt u tin v hnh thc tr li hp l u tin xc nh thi im giao kt hp ng mi l hp l. Bn cnh , qui nh v thi im giao kt hp ng bng vn bn l thi im bn sau cng k vo vn bn ti khon 4 iu 404 BLDS 2005 cng cha cht ch v cng cha ph hp vi thc t. Bi l, qui nh ny ch ng trong mt trng hp: cc bn trc tip giao kt, vic giao kt c thc hin bng bt m, trn cng

100 mt vn bn truyn thng. Ngoi tnh hung trn, khon 4 iu 404 kh c th p dng cho cc trng hp khc. Trn thc t, khng phi lc no cc bn cng giao kt hp ng vi nhau ch bng mt vn bn, m c th bng nhiu vn bn khc nhau, c th giao kt qua phng tin thng tin, lin lc nh qua th tn, in tn, fax, telex, hoc gi thng ip d liu, hoc thm ch cc bn bn bc trc tip v giao kt hp ng ti phng cng chng, trc s chng kin ca cng chng vin; hoc cc bn m phn hp ng lm nhiu ln, mi ln u c lm bin bn ghi nh v ni dung m phn; hoc mt bn c th ngh giao kt hp ng bng vn bn, cn bn kia tr li bng li ni, bng hnh vi c th, hoc bng telex hay th in t (email).v.v. Cng c trng hp mt bn cp cho bn kia mt vn bn xc nhn ng giao kt hp ng, vi ch k n phng ca bn (v d: giy vay tin thng ch do mt bn vay lp ra). Do vy, nu ch da vo qui nh bn sau cng k vo vn bn, th cc trng hp trn rt kh xc nh u l thi im bn sau cng k vo vn bn. V d: trong cc hp ng bo him trch nhim dn s bt buc ca ch xe c gii (v d xe gn my dng cho c nhn), ngi mua bo him ngh giao kt hp ng bng vic in vo phiu yu cu c bo him, v np tin bo ph. i l bo him (c cng ty bo him y quyn hp php) chp nhn giao kt bng cch in cc thng tin lin quan vo Giy chng nhn bo him c y ch k ca gim c v c ng du ca cng ty bo him, v giao giy cho ngi mua bo him. Ti thi im , hp ng bo him c giao kt. y, khng c vic bn sau cng k vo vn bn. Thc tin ny c doanh nghip bo him, ngi tiu dng, c quan chc nng chp nhn, v cng c cc lut gia ng tnh [276, tr.141]. Trong nhng trng hp nh vy, qui nh bn sau cng k vo vn bn khng th p dng xc nh thi im giao kt hp ng. Bi vy, qui nh ny cn phi c sa i, b sung cho ph hp vi yu cu ca thc tin. Vn chng minh vic bn sau cng k vo vn bn cng gp nhiu kh khn. Thc tin php l Vit Nam cho thy, nhng giy t giao dch chnh thc ca t chc, nht l cc doanh nghip l php nhn, th phi c ch k, ghi r h tn ca ngi i din hp php v phi c ng du [138, iu 36]. Theo kin ca cc lut gia, thc t cng c quan nim cho rng, hp ng bng vn bn ca t chc phi c ng du th mi c gi tr php l [223, tr.318]. i khi, thc tin xt x cng xem vic ng du l mt hnh thc k vo vn bn [54, tr.367]. Do , ni dung

101 cm t bn sau cng k vo vn bn rt cn c lm r. Trong thc tin xt x, nhn thc ca cc ta n, cng nh gia cc bn lin quan v vn giao kt hp ng bng vn bn vn cha c s nht qun. V d: Quyt nh gim c thm s 08/KDTM-GT ngy 08/12/2005 ca HTPTANDTC v v n tranh chp hp ng mua bn hng ho, dch v bo tr trm bin p (Xem Ph lc s 03): Bn bn fax cho bn mua mt vn bn cho hng 04 chic ng h o in vn nng. Tng gim c ca bn mua k tn chp nhn trc tip ln bn fax ni trn, nhng khng c ng du ca cng ty. Cng ngy k hp ng, bn bn giao hng cho bn mua. Bn mua nhn hng. Sau , bn mua c gi cho bn bn vn bn vi ni dung: hng c gi qu cao so vi gi th trng ti cng thi im v yu cu bn bn iu chnh gi. Nguyn n cho rng, trn thc t, bn mua k tn vo n cho hng v nhn hng, nn hp ng c giao kt v c hiu lc rng buc i vi cc bn. Ta cp s thm x hp ng mua bn c giao kt v c hiu lc. Ta cp phc thm x hp ng cha c giao kt v cho rng, bn mua mi ch ngh giao kt hp ng ch cha phi chp nhn ngh. Cn vic sau , bn mua c vn bn yu cu iu chnh gi, l mt s sa i ni dung cho hng, nn phi xem y l ngh mi. Cp gim c thm ng vi quan im ca cp s thm, nn hy Bn n s s 03/KTPT ngy 17/01/2005 ca To phc thm TANDTC ti Tp. H Ch Minh. Nhn xt: 1. Trong v n trn, cc bn v cc cp ta n ang xem xt v thi im giao kt hp ng, trong cc bn s dng phng thc giao kt gin tip, bng vn bn (fax). 2. C nguyn n, b n, ta cp s thm, to cp phc thm v cp gim c thm khng thng nht vi nhau v thi im giao kt hp ng. Nguyn nhn dn n vic thiu thng nht ny l v cc bn lin quan cha nht tr vi nhau bn no l bn ngh giao kt v bn no l bn chp nhn ngh. V vy, cc bn cng cha th thng nht c vi nhau v thi im c hiu lc ca hp ng. Theo b n v ta phc thm, bn ngh giao kt hp ng trong v ny l bn mua. Bi v, vic bn mua gi tr li bn bn bn fax bo gi, mi c ch k ca tng gim c nhng cha c ng du ca cng ty, th cha phi l mt chp nhn ngh, y cng cha phi l mt ngh giao kt hp ng. Sau , bn bn khng tr li m t mang my n giao cho bn mua. Tuy bn mua nhn my, nhng

102 sau , bn mua gi vn bn ngh bn bn gim gi. y cha phi l chp nhn giao kt m ch l mt ngh mi. Do vy, hp ng cha xem l c giao kt. Nguyn n, ta cp s thm, ta cp gim c thm cho rng fax cho hng ca bn bn l ngh giao kt, cn vic tng gim c ca bn mua k tn vo bn cho hng ny l chp nhn giao kt hp ng. Hn na, sau bn bn giao my v bn mua nhn my, nn hp ng pht sinh hiu lc. 3. Vn mu cht trong v ny l vic xc nh hp ng c giao kt hay cha. y, cn phi lm r bn fax ca bn bn gi cho bn mua c ng l mt n cho hng hay ch l mt bng bo gi hoc catalogue gii thiu sn phm c ghi gi; v nu y ng l n cho hng, th sau khi nhn c fax cho hng, th bn mua c gi in t hng, hoc c gi li bn fax c ch k ca tng gim c cho bn bn t hng hay cha. ng tic l cc ca cp ta n u khng c phn tch c th v bn fax v tin trnh thc hin vic trao i thng tin gia cc bn nh va phn tch, nn a ra nhng phn quyt c phn tri ngc nhau. Nguyn nhn c bn dn n vic phn x thiu nht qun gia cc cp ta n trong v n trn l do qui nh ti khon 4 iu 403 BLDS 1995 (nay l khon 4 iu 404 BLDS 2005) cha cht ch. Ni dung ca qui nh ny ch iu chnh vic giao kt hp ng trc tip, bng vn bn. Cn v vic ang phn tch th va c giao kt bng vn bn, thng qua vic truyn tn hiu bng fax (gin tip), va tr li bng hnh vi c th, v khng c vic hai bn cng k vo vn bn. Tm li, qui nh nh iu 404 BLDS 2005 l cha l gch v cha cht ch, cn ln ln v nhp nhng gia phng thc giao kt vi hnh thc hp ng, dn n tnh trng thiu nht qun trong nhn thc v p dng iu lut ca mt s ta, v c vi cc bn trong vic gii quyt tranh chp lin quan. T c s l lun v thc tin nu trn, thit ngh nn sa i iu 404 BLDS 2005 theo hng xc nh thi im giao kt hp ng da trn phng thc giao kt (c mt hay vng mt) v hnh thc tr li chp nhn, ch khng nn da vo hnh thc hp ng ni chung nh hin nay. 3.2.1.2. iu 404 cha d liu thi im giao kt hp ng bng hnh vi c th Thc t cuc sng cho thy, vic cc bn giao kt hp ng bng hnh vi c th l rt ph bin. V d: vic mua bo hay mua v s ca ngi bn rong, mua hng ha bng my bn hng t ng, gi gi xe my, mua v xe but v kim sot v bng cc thit b t ng. Trong nhng trng hp ny, ngi c ngh s dng hnh vi

103 c th giao kt hp ng, m khng cn km theo s din t ch bng ngn ng ni hay ngn ng vit. V d: Cng ty xy dng X gi n t hng cho Nh my xi mng M t mua T tn xi mng, theo gi Y, giao hng vo gi G, ti a ch Z. Pha nh my M khng hi p bng vn bn, nhng giao xi mng ng theo cc iu kin ca n t hng. Gi xi mng trn th trng gim, X khng nhn hng, vi l do hp ng cha c giao kt. Cu hi t ra l, hp ng gia X v M c giao kt hay cha (?). Nu da vo iu 404 BLDS 2005 th kh c th xc nh hp ng c giao kt hay cha, v nu hp ng c giao kt ri th cng kh xc nh thi im giao kt hp ng l lc no. Bi l iu 404 khng d liu trng hp cc bn ng thi nhiu hnh thc khc nhau giao kt hp ng, v iu lut ny cng khng d liu trng hp tr li giao kt bng hnh vi c th. Trong lut thc nh, nh lm lut cng tha nhn vic giao kt hp ng bng hnh vi c th. V d: hnh vi giao ti sn trong cc hp ng cm c, hp ng tng cho, hp ng cho mn v hp ng vay ti sn. Mt khc, cc iu 124 v khon 1 iu 401 BLDS 2005 cng u qui nh hnh vi c th l mt trong ba hnh thc ca hp ng. Nh vy, iu 404 BLDS 2005 cha d liu thi im giao kt ca hp ng bng mt hnh vi c th, l thiu st. iu ny c th s gy ra nhiu kh khn cho vic gii quyt cc tranh chp pht sinh trong thc t lin quan n vic xc nh thi im giao kt hp ng bng hnh vi c th, v thiu cn c php l cn thit. y l mt s thiu st cn phi c nghin cu b sung. iu 404 BLDS 2005 cng cha qui nh thi im giao kt hp ng trong cc trng hp c th. iu 404 ch qui nh thi im giao kt hp ng trong cc trng hp thng thng m cha qui nh thi im giao kt hp ng trong cc trng hp c th, nh thi im giao kt hp ng trong u thu, giao kt hp ng thng qua iu khon thng mi chung hoc hp ng mu14 Thi im giao kt hp ng trong trng hp giao kt hp ng theo iu khon thng mi chung hoc theo hp ng theo mu, hin vn c php lut qui nh c th. y l nhng

Theo Lut Bo v quyn li ngi tiu dng (Vit Nam) nm 2010, iu khon thng mi chung c hiu l nhng quy nh, quy tc bn hng, cung ng dch v do t chc, c nhn kinh doanh hng ha, dch v cng b v p dng i vi ngi tiu dng (khon 6 iu 3), cn hp ng mu c hiu l hp ng do t chc, c nhn kinh doanh hng ha, dch v son tho giao dch vi ngi tiu dng (khon 5 iu 3). V cc vn ny, c th xem thm ti liu s 216, tr.5-17, s 285, tr.36-40, v s 343 (Khon 3 iu 2: 209).

14

104 trng hp c bit, nhng li rt ph bin trong i sng, c lin quan mt thit n quyn v li ch chnh ng ca ngi tiu dng. bo v tt quyn li ca cng chng ni chung, ngi tiu dng ni ring, thit ngh cn phi b sung nhng qui nh c th v cht ch hn v thi im giao kt i vi cc loi hp ng k trn. 3.2.1.3. Khon 2 iu 404 cha d liu trng hp im lng theo qui nh ca php lut l chp nhn giao kt hp ng Bn cht ca hp ng l s gp g ch gia cc bn, da trn s hip v s ng thun. V v nguyn tc, hp ng ch c th c giao kt nu bn ngh nhn c tr li chp nhn giao kt hp ng (khon 1 iu 404). Trong khoa hc php l, quan im coi im lng l ng khng phi lc no cng c cc lut gia chp nhn [168, tr.96]. Tuy vy, cng c kin bnh vc cho vic cng nhn s im lng l tr li chp nhn, nu c km theo nhng iu kin khc [54, tr. 76-82]. Trong cc B Nguyn tc quc t v hp ng v cc tp qun hp ng thng mi quc t u khng xem s im lng l chp nhn giao kt: s im lng hoc bt tc vi khng mc nhin c gi tr mt s chp nhn [37, on 1 iu 18], hoc Bn thn s im lng hay bt tc vi khng c gi tr nh mt chp nhn ngh giao kt hp ng [25, Khon 1 iu 2.1.6 ], hoc Im lng hay bt tc vi t thn n khng phi l s chp nhn ngh [343, Khon 2 iu 2: 204 ]. Theo lut Php, v nguyn tc, im lng khng c coi l chp nhn giao kt hp ng v ngi ta khng th da vo s im lng suy ra ch chp nhn ngh giao kt hp ng ca bn , tr mt s trng hp ngoi l do php lut qui nh hoc do n l tha nhn [227, tr.35-6]. Trong n l M, ban u, cc thm phn cng khng tha nhn im lng l ng giao kt hp ng. Tuy vy, c mt s thay i t duy ca cc thm phn, sau khi Vn bn Php in v hp ng (Restatement of Contracts) c ban hnh. Ti on 72 Vn bn ny qui nh: khi ngi c ngh khng tr li mt ngh th s im lng hoc khng hnh ng ca h c th c xem nh mt s chp nhn nu ngi ngh xc nh c hoc c l do tin rng s ng r rng c biu hin bng cch im lng hoc khng hnh ng, v ngi c ngh gi im lng ngha l c nh chp nhn ngh giao kt hp ng. Vi s hin din ca qui nh ny lm cho nguyn tc bt di bt dch im lng khng phi l ng tr nn kh gii thch thuyt phc [335, tr.51].

105 Khon 2 iu 404 BLDS 2005 cng nhn im lng l chp nhn giao kt hp ng khi tha mn hai iu kin l cc bn c tha thun trc, v cc bn c xc nh thi hn tr li nhng ht thi hn tr li m bn c ngh vn im lng. Xut pht nguyn tc t do giao kt hp ng, thit ngh vic cng nhn im lng l chp nhn giao kt hp ng nu cc bn c tha thun l cn thit. Nhng qui nh ny vn cn hn ch v cha d liu cc trng hp s im lng chp nhn giao kt hp ng do php lut qui nh. Trong lut thc nh, c nhiu trng hp s im lng c qui nh l chp nhn giao kt hp ng. V d: qui nh v tr li chp nhn giao kt hp ng mua bn ti sn sau khi dng th: Trong thi hn dng th, bn mua c th tr li mua hoc khng mua; nu ht thi hn dng th m bn mua khng tr li th coi nh chp nhn mua theo iu kin tha thun trc khi nhn vt dng th. [15, khon 1 iu 460]. Ngoi ra, trong trng hp php lut c qui nh mt bn c ngha v phi pht biu ch v vic t chi giao dch, nhng ngi c ngha v khng hnh ng nh vy th c suy on l ng . V d: khi ngi i din xc lp giao dch vt qu phm vi i din, nhng ngi c i din bit m khng phn i th phn giao dch c xc lp vt qu phm vi i din vn c hiu lc i vi ngi c i din [15, khon 1 iu 146]. Bi vy, cn b sung qui nh v trng hp php lut c qui nh im lng l chp nhn giao kt hp ng tng ng vi cc trng hp va nu. 3.2.2. Qui nh v thi im c hiu lc ca hp ng ti iu 405 B lut Dn s 2005 cha y v cn gy nhiu tranh ci 3.2.2.1. B lut Dn s 2005 cha d liu ht cc thi im bt u c hiu lc ca hp ng iu 405 qui nh: hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc. Theo tinh thn iu lut th ch nhng hp ng c giao kt hp php mi c hiu lc. Cn nhng hp ng cha c giao kt hp php, th ni dung iu lut cha th hin l c hiu lc hay khng. Bi vy, y c hai vn cn phi c lm r: th no l hp ng khng hp php, nu hp ng khng hp php th c lm pht sinh quyn v ngha v ca cc bn hay khng, pht sinh t lc no (?)

106 Khi nim hp ng hp php tuy cha c nh lm lut qui nh r rng, nhng c th gii thch c, v c th p dng iu 122 (BLDS 2005) [273, tr.179]. Theo , hp ng hp php l hp ng c xc lp tun th cc iu kin c qui nh ti iu 122 BLDS 2005. Nu php lut chuyn ngnh c qui nh cc iu kin c th cho cc hp ng chuyn bit, th hp ng ch c coi l giao kt hp php nu p ng ng thi iu kin c hiu lc theo qui nh ca lut chung v lut chuyn ngnh. Trn thc t, nhiu khi ngi ta ch quan tm ti lut chuyn ngnh m khng lu qui nh chung; hoc ngc li, ch ch ti iu kin chung ca hp ng m khng quan tm ti qui nh ca lut chuyn ngnh. V th, c quan im cho rng p dng php lut nh vy l my mc, phin din v s dn ti nhiu h qu tiu cc do p dng php lut thiu chnh xc [55, tr.12 9]. Bi vy, qui nh v thi im c hiu lc ca hp ng hp php rt cn c xem xt thn trng trong thc tin p dng BLDS v php lut chuyn ngnh. Vn cn li l khi hp ng khng c giao kt hp php c hu qu php l nh th no, th ni dung iu 405 cha qui nh r. gii quyt vn ny, cn vn dng qui nh ti iu 122 v iu 127 BLDS 2005: giao dch dn s khng hp php th v hiu. Hp ng l mt loi giao dch dn s, nn hp ng khng hp php th cng b v hiu [15, khon 1 iu 410]. V phng din l lun, hp ng v hiu c cc lut gia chia lm hai loi l hp ng v hiu tuyt i v hp ng v hiu tng i. Hp ng v hiu tng i th ty trng hp c th v hiu hoc cng c th c hiu lc [122, tr.72; 168, tr.217-8; 242, tr.149; 249, tr.60]. V d: hp ng c thit lp vi phm s t nguyn (tr gi to), hp ng c xc lp bi ngi cha nng lc hnh vi dn s (theo qui nh vi loi giao dch dn s tng ng) m khng c s ng ca ngi i din hp php l nhng trng hp v hiu tng i. Vy, i vi cc hp ng v hiu tng i, khi cc bn c tranh chp m hp ng vn c ta n cng nhn, th vn xc nh thi im c hiu lc ca n l nh th no (?). y l vn cha c BLDS 2005 d liu. Sau y l cc trng hp c th: (1) V thi im c hiu lc ca hp ng khi hp ng c lp khng ng hnh thc lut nh. Theo qui nh ca BLDS 2005 th hnh thc hp ng l iu kin c hiu lc ca hp ng nu php lut c qui nh [Khon 2 iu 122], v khi hp ng vi phm hnh thc th c th b v hiu [iu 124, 127, 134, khon 2 iu 401].

107 Theo , nu php lut c qui nh hp ng phi tun theo hnh thc bt buc, ng thi cng qui nh thi im c hiu lc ca hp ng l thi im hp ng c lp ng hnh thc lut nh, th hp ng ch c hiu lc khi c lp ng hnh thc . V d: hp ng mua bn nh gia c nhn vi c nhn phi c lp bng vn bn cng chng hoc chng thc [15, iu 450; 151, khon 3 iu 93; 136, khon 1 iu 6] v c hiu lc t thi im hp ng c cng chng, chng thc [136, Khon 3 iu 4]; hoc hp ng chuyn quyn s dng t phi c lp thnh vn bn c cng chng, chng thc theo qui nh ca php lut [15, Khon 2 iu 689] v c hiu lc k t thi im ng k quyn s dng t theo quy nh ca php lut v t ai, tc c hiu lc k t thi im ng k [15, iu 692; 193, khon 4 iu 146] ti c quan nh nc c thm quyn.15 y l nhng hp ng m thi im c hiu lc l do php lut qui nh, nu cc bn khng c tha thun khc [15, iu 405]. Bi vy, nu hp ng loi ny cha c lp ng hnh thc, th phi c coi l cha c hiu php lut. Trong trng hp ny, hp ng c hiu lc, cc bn phi yu cu ta n hoc c quan c thm quyn gii quyt. Trn c s , ta n hoc c quan c thm quyn c th ra quyt nh buc cc bn thc hin ng hnh thc, th tc lut nh trong mt thi hn; nu qu thi hn m khng thc hin th hp ng v hiu [15, khon 1 iu 410 v iu 134]. Vn t ra l, nu hp ng vi phm hnh thc m c ta n hoc c quan nh nc c thm quyn quyt nh buc thc hin ng hnh thc, th tc lut nh, nh ra phng cng chng lm li hp ng, th thi im c hiu lc ca hp ng l lc no (?). Nu ht thi hiu khi kin th hu qu php l nh th no (?). y l vn hin cn gy nhiu tranh ci. Khi bn v vn hp ng khng tun th hnh thc, c nhiu kin cho rng php lut cha xc nh r thi im c hiu lc ca hp ng b vi phm hnh thc v kin ngh cn quy nh thi im c hiu lc ca hp ng trong trng hp hnh thc hp ng c khc phc [248, tr.43]. Tht vy, php lut hin hnh cha gii quyt trit vn ny. Cc nh bnh lun cho rng, v nguyn tc, hp ng c giao kt th c hiu lc, khng ph thuc vo thi im cng chng, chng thc, ng k hoc xin php. Theo quan im ny, khong thi gian t thi im giao kt n khi hp ng c cng chng, chng thc

Thm quyn cp Giy chng nhn quyn s dng t, quyn s hu nh v ti sn khc gn lin vi t: Xem khon 5 iu 4 Lut Sa i, b sung mt s iu ca cc Lut lin quan ti u t xy dng c bn 2009.

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108 theo th tc lut nh l khong thi gian hp ng c hiu lc treo, v vic cng chng, chng thc ch l th tc xc nhn hp ng c hiu t khi giao kt ch khng c ngha quyt nh thi im c hiu lc ca hp ng [273, tr.180 1]. Tuy vy theo tc gi, cch gii thch ny c phn cha chnh xc, nht l i vi cc hp ng m thi im c hiu lc ca n c php lut qui nh minh th. V d: hp ng chuyn quyn s dng t, hp ng tng cho bt ng sn hoc ng sn c ng k quyn s hu Hn na, php lut cng chng ch qui nh vn bn cng chng c hiu lc t thi im vn bn c cng chng v ng du ca t chc cng chng, ch khng c qui nh hiu lc hi t ca cc vn bn ny. Mt khc, ngy cc bn chnh thc k hp ng l ngy hp ng c lp theo ng th tc cng chng, ch khng phi l thi im giao kt. Xt v mt l gch, hp ng thiu hnh thc trong trng hp ny phi c xem l hp ng cha c hiu lc, v cc bn cha c quyt nh cui cng xc lp hp ng. Tuy vy, v hp ng c giao kt, nn c th xem y l quan h tin hp ng [230, tr.125-32; 257, tr.3237&39] [305]. Theo , hp ng tuy cha c hiu lc rng buc cc bn, nhng cc bn c nhng ngha v php nh v t nguyn xc lp cc cam kt n phng bng vic a ra ngh giao kt, hoc chp nhn ngh giao kt hp ng. Vn ny cng c TAND TC gii thch v hng dn p dng trong hot ng xt x bng hai vn bn khc nhau cho hai loai hp ng khc nhau: hp ng mua bn nh v hp ng chuyn quyn s dng t. Theo : (i) i vi hp ng mua bn nh khng tun th hnh thc lut nh m cc bn c tranh chp, th Ta n quyt nh buc mt hoc cc bn phi n c quan nh nc c thm quyn trong thi hn mt thng, k t ngy To n ra quyt nh thc hin cc th tc hon thin v hnh thc ca hp ng [198, im b mc I.2.2.]; (ii) i vi hp ng chuyn quyn s dng t c xc lp t sau ngy 15/10/1993 nhng c vi phm hnh thc, th tc lut nh m cc bn pht sinh tranh chp v c n khi kin sau ngy 01/07/2004 th Ta n khng coi l hp ng v hiu do vi phm iu kin ny. C ngha cc hp ng ny vn c ta n cng nhn l c hiu lc, nu p ng cc iu kin xc nh: tr tin, hoc giao t [199, im b.2, b.3 mc II.2.3] C th thy, i tng ca hai loi hp ng u l bt ng sn c ng k (quyn s hu hoc quyn s dng), hnh thc ca hp ng u khng ng qui nh ca php lut, nhng hai vn bn trn li a ra hai ng li gii quyt khng ging

109 nhau. Cch gii thch vn ny trong Ngh quyt 02/2004/NQ-HTP cng vt xa ch ban u ca nh lm lut, nu khng ni l tri lut. Bi l, theo qui nh ca BLDS 2005, khi hp ng vi phm hnh thc, th tc lut nh th ta n, c quan nh nc c thm quyn cn buc cc bn phi thc hin ng hnh thc ca giao dch trong mt thi hn theo iu 134 BLDS 2005 mi ng. Mt khc, theo qui nh ti iu 692 BLDS 2005 v khon 2 iu 146 Ngh nh 181/2004/N-CP, hp ng ny ch c hiu lc khi tun th iu kin v hnh thc v c ng k quyn s dng t ti c quan c thm quyn ng k quyn s dng t. Nh vy, hp ng vi phm hnh thc trong trng hp ny phi c xem l khng c hiu lc. Cc bn phi hon tr li cho nhau cc li ch nhn theo hp ng. Nu khng hon tr c bng hin vt th phi hon tr bng tin. Tm li, vic xc nh thi im c hiu lc ca hp ng vi phm hnh thc l vn php l phc tp, m c v l lun cng nh thc tin php l Vit Nam hin nay vn cha c hng gii quyt hp l. S phc tp ny xut pht t nguyn nhn lut hin hnh cha x l tt mi quan h bin chng gia hnh thc hp ng vi thi im c hiu lc ca hp ng, cng nh cha c s phn bit r rng hiu lc rng buc ngha v ca cc bn hp ng trc v sau khi hp ng bt u c hiu lc. Chnh v th, qui nh v thi im c hiu lc ca hp ng theo qui nh ca BLDS 2005 cn phi c sa i, b sung hon thin hn, c bit l cn b sung hiu lc ca cc cam kt tin hp ng v hu qu php l khi cc bn vi phm ngha v trong giai on ny. (2) V thi im c hiu lc ca hp ng c xc lp bi ngi khng c quyn i din. C nhiu hp ng c xc lp bi ngi khng c quyn i din, nhng vn c th c cng nhn l hp ng c hiu lc, nu p ng cc iu kin do php lut qui nh: (i) ngi giao dch vi ngi khng c quyn i din thng bo cho ngi c i din hoc ngi i din ca ngi tr li trong thi hn n nh, v (ii) ngi i din hoc ngi c i din ng . Vn t ra l trong trng hp ny, hp ng bt u c hiu lc t lc no: khi hp ng thc t c xc lp, khi ngi c quyn nhn c thng bo, hay khi ngi c quyn th hin s ng . Tng t, v thi im c hiu lc ca hp ng c xc lp bi ngi i din, nhng vt qu phm vi i din. Mt hp ng c ngi i din xc lp vt qu phm vi i din th phn vt qu khng c hiu lc i

110 vi ngi c i din. Nhng nu ngi c i din ng hoc bit m khng phn i th phn hp ng vt qu phm vi i din vn c hiu lc [15, khon 1 iu 146]. Vn l phn hp ng vt qu phm vi i din c hiu lc t thi im no, ngi c i din c th xc nh li thi im c hiu lc ca phn hp ng vt qu phm vi i din theo ch ca mnh hay khng. y cng l vn m BLDS 2005 cn ng, cn phi c lm r. (3) V thi im c hiu lc ca hp ng c xc lp bi ngi c nng lc hnh vi dn s cha y hoc ngi b hn ch nng lc hnh vi dn s v cn phi c s ng ca ngi i din. i vi cc hp ng c xc lp bi nhng c nhn c nng lc hnh vi dn s khng tng ng vi yu cu php l ca hp ng (ngi b hn ch nng lc hnh vi dn s hoc cha c nng lc hnh vi dn s cn thit xc lp, thc hin hp ng) th cn phi c s ng ca ngi i din hp php, th hp ng mi c hiu lc [15, iu 20 v khon 2 iu 23]. Vn t ra l nu hp ng c xc lp bi ngi c nng lc hnh vi cha y hoc ngi b hn ch nng lc hnh vi, ri sau ngi i din hp php mi bit v th hin s ng , th c c khng, v nu vic ng th hin sau khi hp ng c xc lp, th thi im c hiu lc ca hp ng l thi im no: lc cc bn giao kt hp ng, hay khi ngi i din tuyn b ng . Vn ny cng cha c php lut qui nh r, nn cn phi c b sung vo BLDS 2005. Nhng thiu st nu trn phn nh ni dung iu lut qui nh v thi im bt u c hiu lc ca hp ng l qu s si, cha d liu c ht cc kh nng c bit c qui nh trong cc phn khc ca BLDS. bo m tnh ton din v bao qut ca php lut, nhng ni dung trn y cn c nghin cu a vo qui nh trong c ch iu chnh php lut v hiu lc rng buc ca hp ng. 3.2.2.2. Qui nh v thi im c hiu lc ca hp ng khi cc bn tha thun khc l cha r rng v cn gy nhiu tranh ci Hp ng c hiu lc t thi im giao kt, tr trng hp cc bn c tha thun khc hoc php lut qui nh khc [15, iu 405]. Nhiu lut gia thng nht quan im xem qui nh ny l nguyn tc chung, cc trng hp cn li (thi im do php lut qui nh hoc do cc bn tha thun) l ngoi l [54, tr.392; 243, tr.97; 256, tr.357; 276, tr.140]. Do , qui nh v thi im c hiu lc ca hp ng do cc bn tha thun hoc do php lut qui nh c u tin p dng. Ch khi no cc bn

111 khng tha thun v php lut khng c qui nh th hp ng c hiu lc ti thi im giao kt. Vn t ra l, liu cc bn c th tha thun thi im c hiu lc ca hp ng khc vi thi im giao kt hp ng, hoc khc vi thi im c hiu lc do lut nh (?). Nhn thc vn cn tn ti ba quan im khc nhau. Quan im th nht cho rng, cc bn c th tha thun thi im c hiu lc ca hp ng khc vi thi im hp ng c giao kt, nhng vic la chn ny b loi tr trong trng hp php lut qui nh mt hnh thc c th, bt buc p dng cho loi hp ng (iu 404, iu 405) [53, tr.10]. Theo , v nguyn tc cc bn c quyn tha thun thi im c hiu lc ca hp ng, nhng i vi thi im c hiu lc ca hp ng do php lut qui nh th cc bn khng c php tha thun. Quan im ny cng c s ng thun ca cc lut gia khc, gm c nh nghin cu cng nh ngi lm cng tc thc tin. Theo mt nh nghin cu, thi im do cc bn tha thun c th bc u tin p dng thp hn thi im do php lut qui nh: p dng thi im c hiu lc ca hp ng phi tun th theo th t: cn c vo qui nh ring ca php lut, trong trng hp khng c qui nh ring, nhng c tha thun, th phi cn c vo s tha thun, nu khng c qui nh ring v khng c tha thun th cn c vo thi im giao kt [276, tr.140]. kin ny khng trc tip ni v vic cc bn c th tha thun thay i thi im c hiu lc ca hp ng khc vi thi im c hiu lc do php lut qui nh hay khng, nhng qua vic nu ln th bc p dng cn c chn thi im c hiu lc ca hp ng nh trn, cc lut gia cho rng, thi im do php lut qui nh c th bc u tin p dng cao hn so vi thi im do cc bn tha thun. Theo ngha , cc bn khng c tha thun thi im c hiu lc ca hp ng nu thi im c hiu lc ca hp ng c php lut qui nh. Quan im ny cng c ng thun ca lut gia lm cng tc thc tin. Bng phng php phng vn chuyn gia, tc gi cng trao i vn ny vi ng Phan Vn Ch.- Trng phng Cng chng nh nc s 1, Tp. H Ch Minh, th c bit, quan im ca c nhn ng v vn ny cng tng t nh quan im va nu. Theo , nu php lut qui nh hp ng phi c lp bng vn bn c cng chng, th hp ng ch c hiu lc php lut khi c cng chng. Cc bn khng th tha thun thay i thi im c hiu lc ca hp ng l mt thi im khc. Bi l, khon 3 iu 4 Lut Cng chng 2005 qui nh: Vn bn cng chng c hiu lc

112 k t ngy c cng chng vin k v c ng du ca t chc hnh ngh cng chng.16 Quan im th hai cho rng, v php lut hp ng chu s chi phi ca nguyn tc t do hp ng, nn cc bn c th tha thun bt k vn no lin quan trong hp ng, min sao tha thun khng vi phm iu cm ca php lut. Thi im c hiu lc ca hp ng l ni dung c bn ca hp ng. V hin cng cha tm thy c qui nh no cm cc bn tha thun thi im c hiu lc ca hp ng khc vi thi im do php lut qui nh. Nh vy, cc bn c th tha thun v thi im c hiu lc ca hp ng sm hn hoc mun hn thi im giao kt hp ng, thm ch c th tha thun sm hn hoc mun hn thi im c hiu lc ca hp ng do php lut qui nh. Quan im th ba cho rng, i vi cc hp ng m php lut c qui nh v thi im pht sinh hiu lc th hiu lc ca hp ng pht sinh ph thuc vo qui nh mang tnh bt buc ca php lut, cc bn khng c tha thun thi im hp ng pht sinh hiu lc sm hn [256, tr.357 8]. Nh vy, theo quan im ny, i vi cc loi hp ng php lut c qui nh v thi im c hiu lc, th cc bn ch c quyn tha thun thi im c hiu lc ca hp ng sau thi im do php lut qui nh, m khng c tha thun v mt thi im c hiu lc sm hn thi im do php lut qui nh. Tc gi ng vi quan im th ba. Bi v, php lut hp ng da trn nn tng ca nguyn tc t do ch, nn khng th ngn cm cc bn t do tha thun v mt thi im c hiu lc ca hp ng ph hp vi hon cnh, iu kin ca mi bn. m bo quyn t do hp ng, cn thit phi cho cc bn c tha thun chn mt thi im khc vi thi im giao kt, hoc thi im lut nh. Nhng t do no cng c gii hn bi l cng bng v lut php. Xut pht t bn cht ca quan h hp ng, phng vic ln trnh php lut, ph hp vi cc qui nh khc v thi hiu, nng lc ch th, bo v quyn li ca ngi th ba, chn lut p dng gii quyt tranh chp, thit ngh nn cho php cc bn c tha thun v thi im c hiu lc ca hp ng, nhng khng c li ngc v trc, sm hn thi im giao kt hoc sm hn thi im c hiu lc ca hp ng do php lut qui nh.

16

Vic phng vn c thc hin vo 8g45 pht sng ngy 02/12/2008, ti Phng cng chng s 01, Tp. H Ch Minh, s 97 Pasteur, Qun 1, Tp. H Ch Minh.

113 Trong thc tin xt x, vn ny dng nh cha c quan tm ng mc v hin vn cn cha nht qun trong nhn thc gia cc cp ta n. V d thc t: Quyt nh gim c thm s 23/2008/DS-GT ngy 28 thng 8 nm 2008 ca v v n Tranh chp hp ng chuyn nhng quyn s dng t ca HTP TANDTC (Xem Ph lc s 4). Trong v n ny, cc bn lp ra ba hp ng khc nhau v vic chuyn nhng mt mnh t. u tin, nguyn n lm hp ng vi cng ty kinh doanh nh t nhn chuyn nhng t nn nh, tr trc mt s tin. Sau , nguyn n li k hp ng vi b n sang nhng li mnh t ni trn cho b n (do ng Th. chng ca b n ng tn bn nhn) ly tin chnh lch. Tip , nguyn n n thng lng li vi cng ty xin chuyn nhng hp ng cho ng Th, v nhn danh ng Th np cho cng ty khon tin cn li. Cng ty ng cho nguyn n c chuyn nhng hp ng cho ng Th, nhng yu cu nguyn n nhn danh ng Th. k tn vo hp ng mi, ng thi ghi li ngy k hp ng v ngy tng ng m nguyn n k hp ng ln u vi cng ty trc y. S hp ng mi ny vn gi nguyn theo s hp ng ln u gia nguyn n vi cng ty. Nhn xt: (1) Trong cng mt v vic, nhng ba cp xt x li c 03 nhn nh khc nhau v gi tr php l ca hp ng: cp s thm cho rng hp ng 180/HCN ngy 15/10/1994 gia ng Th (do nguyn n k thay) vi cng ty l hp ng v hiu, cp phc thm cho rng hp ng ny l hp ng tri php lut v tuyn hy b, cn cp gim c thm cho rng y l hp ng hp php v c hiu lc php lut. Kt lun thiu nht qun ca ba cp xt x v cng mt vn vi nhng lun im rt khc bit, khin cho ngi ta khng khi nghi ng v tnh nghim minh ca php lut v ca cng tc xt x. T , vn thi im c hiu lc ca hp ng cn phi c hiu, gii thch, vn dng nht qun hn. (2) Mt vn php l cn phi c lm r l hp ng 180/HCN ngy 15/10/1994 gia ng Th (do nguyn n k thay) vi Cng ty c ghi hiu lc trc ngy k hp ng (hiu lc t 10/10/1994). Nh vy, cc bn ghi li ngy c hiu lc ca hp ng v trc ngy hp ng c giao kt, nhng vn c cp gim c thm chp nhn. Phi chng iu ny l cha ph hp vi qui nh ca php lut v thi im c hiu lc ca hp ng (?). Hn na, nu vic chuyn nhng ny c thc hin n gin nh trong v n m vn c ta chp nhn th tnh trng ln

114 trnh php lut s rt kh kim sot, nht l trong vic chuyn nhng quyn mua nn nh ti nh c hoc lin quan n vic thu thu chuyn quyn s dng t s khng c m bo thc hin ng qui nh ca php lut.17 Thit ngh php lut cn qui nh r v vn ny, theo hng khng cho php cc bn tha thun li thi im c hiu lc ca hp ng v trc thi im giao kt ln trnh php lut hoc xm phm ti li ch cng cng v quyn li ch hp php ca c nhn, t chc. Trc mt khi cha th sa i ngay qui nh trn y ca BLDS 2005, TAND ti cao cn c vn bn hng dn c th qui nh ni trn c nhn thc v p dng nht qun. 3.2.3. Bt cp trong qui nh v thi im c hiu lc ca hp ng c iu kin Nh phn tch trong phn trn, thi im c hiu lc ca hp ng c iu kin l thuc vo vic giao kt v s tn ti ca iu kin hp ng. Mt vn quan trng lin quan n iu kin pht sinh hiu lc ca hp ng c iu kin, l s can thip ca ch cc bn lm cho iu kin xy ra sm hn hoc mun hn, hoc cn tr lm cho iu kin khng th xy ra, hoc phi xy ra khng ng bn cht ca n. Thng thng, mi s can thip bi ch ch quan ca cc bn lm cho s kin xut hin (xy ra) hay mt i (khng xy ra) tri vi bn cht khch quan ca chng, th s kin xy c coi nh khng xy ra, v s kin khng xy ra s c coi nh xy ra. Ngoi ra, php lut cng cn d liu trch nhim ca cc bn trong thi gian ch t lc giao kt hp ng cho n khi s kin xy ra hoc khng xy ra. Trong thc tin xt x, ta n cc cp cng cha c s nhn thc nht qun v thi im c hiu lc ca hp ng c iu kin. V d: V n v hp ng tng cho nh t ti Bn n s 14/GT ngy 26/01/1999 ca Ta Dn s - TANDTC (Xem Ph lc s 5). Hp ng tng cho nh t gia c T vi b n l hp ng tng cho c iu kin. iu kin y l bn c tng cho phi lm mt s cng vic, nh nui dng ngi tng cho khi cn sng, mai tng v cng gi ngi tng cho sau khi qua i. Ni dung, hnh thc ca hp ng tng cho v iu kin tng cho l hp php.

Vn ny hin c cc vn bn php lut iu chnh: Theo iu 14 Lut Kinh doanh bt ng sn 2006, iu 4 Ngh nh 153/2007/N-CP, iu 39 Lut Nh 2005 th nhng trng hp chuyn quyn gp vn, quyn mua nn t, cn h l chuyn nhng bt ng sn hnh thnh trong tng lai. Theo Thng t 161/TTBTC ngy 12/8/2009 ca B Ti chnh, c nhn gp vn vi cc t chc, c nhn xy dng nh hng quyn mua cn h, nn nh nhng trong qu trnh thc hin hp ng li chuyn nhng cho ngi khc phn vn v quyn mua nn, cn h th phi np thu thu nhp c nhn i vi hot ng chuyn nhng bt ng sn.

17

115 Thi im tng cho trc 01/7/1980. Quyn s hu nh c chuyn t c T sang cho b n hon tt vo 1994. Nhn xt: 1. Vn cn phi c xem xt l hp ng tng cho ny c hiu lc hay cha, c hiu lc t khi no, v nguyn n c th i li nh c tng cho hay khng. C hai cp s thm v phc thm u cho rng hp ng ny c hiu lc, nn nguyn n khng th i li nh. Cp gim c thm cho rng hp ng ny cha c hiu lc v ng l phi b hy b. Tuy khng cng nhn hp ng c hiu lc, v y l hp ng tng cho nh c iu kin v nhng iu kin c t ra mi ch thc hin c mt phn, nhng cp gim c thm li cho rng, do ng Y nhn nh t, lm li ton b v thc hin vic chm sc v chng c T trn mt thi gian di nn cn chp nhn cho ng Y c s hu, s dng nh t ca c T v xem xt vic thanh ton ngha v, thanh ton chnh lch ti sn tha ng. Nh vy, c ba cp ta vn cha c s thng nht vi nhau v thi im c hiu lc ca hp ng ny. 2. Theo cp s thm v cp phc thm nhn nh v vic theo hng bn c tng cho hon thnh phn ln cng vic, nn cng nhn hp ng tng cho l c hiu lc, nhng phn ngha v cn li cha thc hin xong th thay th bng mt ngha v khc l buc ngi c ngha v phi tr mt khon tin nguyn n thc hin thay ngha v nui dng. Tri li, cp gim c thm cho rng nguyn n xin hy hp ng l c cn c v nhng iu kin t ra mi c b n thc hin mt phn, c ngha theo cp c thm, cng vic phi c thc hin hon tt th hp ng mi c hiu lc. Nhng cp gim c thm cng tha nhn l bn c tng cho thc hin phn ln ngha v, nn vn cng nhn hp ng c hiu lc mt phn. Bi v ni dung ca cc qui nh lin quan cha bao qut ht cc trng hp thc t, nn vic p dng php lut ca ta n cn phi linh hot ph hp vi yu cu ca thc t v nguyn tc cng bng. Cch gii quyt ca ta cc cp v v n ny tuy c th xem l kh cng bng v c tnh, nhng li khng hon ton ng lut. ng l phi cho php bn tng cho hy hp ng v i li ti sn tng cho mi ng. Qua thc tin gii quyt v ny, nu tha nhn tnh cng bng ca hot ng thc tin xt x, th cng c ngha l tha nhn qui nh ca php lut v vn lin quan l cn nhiu bt cp v cha bao qut ht thc tin ph bin ca i sng. T , i hi phi sa i, b sung qui nh ca php lut hin hnh v ni dung ny.

116 3.3. KIN NGH HON THIN CC QUI NH PHP LUT V THI IM C HIU LC CA HP NG 3.3.1. Sa i, b sung ton din iu 404 B lut Dn s 2005 Nh phn tch, ni dung iu 404 l cha cht ch do qui nh ny ch da trn hnh thc giao kt m khng da trn phng thc giao kt v hnh thc tr li chp nhn. B cc cc khon trong iu lut ny cng cha l gch, v vic qui nh khng theo trnh t i t nguyn tc chung n cc trng hp c th. Cc tnh hung d liu trong iu lut l cha y , v c phn cha ph hp vi thc t i sng. T thc trng , tc gi kin ngh Quc hi sa i, b sung iu 404 nh sau: 3.3.1.1. Cn xc nh ng nguyn tc chung ca thi im giao kt hp ng, v thit k ni dung ny thnh khon 1 iu 404 BLDS 2005 Khon 1 iu 404 BLDS 2005 hin hnh qui nh v trng hp giao kt vi ngi vng mt. m bo tnh l gch ni ti ca iu 404, trc ht, cn sa i kt cu iu lut theo hng: nguyn tc chung mang tnh ph bin c qui nh trc, cc trng hp c th, ngoi l c qui nh sau. L tt nhin, trng hp giao kt trc tip, bng li l trng hp ph bin nht ca thc tin i sng, cn c xem l nguyn tc chung, th c qui nh trc. Cc trng hp giao kt gin tip, hoc vic tr li giao kt bng vn bn, bng hnh vi l nhng trng hp ngoi l, t ph bin hn c qui nh sau. C th, khon 1 iu 404 c qui nh nh sau: 1. Hp ng c giao kt ti thi im cc bn tha thun xong ni dung ca hp ng, tr trng hp cc bn c tha thun hp ng phi c giao kt theo hnh thc, th tc xc nh th thi im giao kt hp ng l thi im hon tt hnh thc, th tc . Nh vy, ni dung khon 1 ny nh ra nguyn tc chung ca thi im giao kt hp ng l hp ng c giao kt khi cc bn tha thun xong ni dung ca hp ng. Bn cnh , qui nh ny cng c trnh by theo hng m, lm c s thit k nhng khon tip theo ca iu lut trong vic iu chnh nhng trng hp ngoi l. V d: khi cc bn tha thun xong ni dung hp ng, nhng li tha thun ring iu khon giao kt hp ng ph thuc vo mt th tc nht nh, nh hp ng phi c lp bng vn bn, hoc phi c s ph chun ca ngi c thm quyn ca bn tham gia m phn, hoc hp ng c giao kt bng th tc cng

117 chng, chng thc, th hp ng ch c giao kt khi vn bn c lp ng th thc, hoc c ph chun bi ngi c thm quyn xc nh. 3.3.1.2. Sa i, b sung qui nh v thi im giao kt hp ng khi hp ng c giao kt gin tip hoc khi cc bn dnh thi gian ch bn c ngh tr li Qui nh thi im giao kt hp ng gin tip qua cc phng tin thng tin, lin lc c a ln khon 1 iu 404, nh qui nh hin hnh l cha l gch. Ni dung ca qui nh ny cng cha cht ch. khc phc nhng bt cp ny, cn sa i theo hng xc nh r, y l ngoi l ca qui nh v thi im giao kt hp ng, v cn b sung thm trng hp cc bn giao kt trc tip nhng li dnh thi hn ch bn c ngh tr li, ng thi thit k qui nh ny thnh khon 2 ca iu 404. V gii php, vic giao kt hp ng bng phng thc gin tip thng c php lut cc nc xy dng trn cc hc thuyt khc nhau, nh thuyt tng pht, tip nhn, thng t [168, tr.99-100]. Tc gi kin ngh Quc hi sa i, b sung khon 2 iu 404 theo hng vn xc nh thi im giao kt hp ng trong trng hp ny vn da trn nguyn tc tip nhn, tc l xc nh thi im giao kt hp ng l thi im bn ngh nhn c tr li chp nhn. C th: 2. Khi hp ng c giao kt gin tip thng qua th tn hoc cc phng tin thng tin, lin lc khc, hoc tuy c giao kt trc tip nhng mt hoc cc bn dnh mt thi hn ch bn c ngh tr li, th thi im giao kt hp ng l thi im bn ngh nhn c tr li chp nhn giao kt. Qui nh nh vy tuy c khc vi quan im ca Nht v mt s nc theo h thng Thng lut (Common Law), do cc nc ny theo nguyn tc tng pht (hay by t) - tc Postal rule (hay Mailbox rule): hp ng c giao kt lc th tr li c gi i, nhng quan im ny li ph hp vi quan im ca nhiu quc gia khc theo h thng Chu u lc a, Lut Hp ng Trung Quc, v cc tp qun thng mi quc t [147, iu 16; 37, iu 18; 25, iu 2.1.6. (2); 343, iu 2: 205 (1)]. Gii php ny cng ph hp vi bn cht ca hp ng, v hp ng l s tha thun gia cc bn. Hp ng ch c xc lp khi c s ng thun, tc phi c s tuyn b ch v c s gp g ch gia cc bn. Hn na, theo nguyn tc cng bng, bn c ngh l bn la chn phng thc truyn t thng tin v bit r phng thc mnh chn c th c nhng ri ro hoc chm tr, v cng l bn c kh nng hn trong vic thc hin cc bin php nhm bo m chp nhn n ni nhn

118 [25, tr.94], nn bn c ngh phi l bn phi chu ri ro v vic truyn t thng tin. Do , nu vic chuyn th tr li chp nhn khng n c vi bn ngh th vic tr li coi nh cha c hiu lc. 3.3.1.3. Sa i, b sung qui nh v thi im giao kt hp ng khi cc bn giao kt hp ng bng vn bn, hoc khi bn c ngh tr li bng vn bn Vic giao kt hp ng bng vn bn trn thc t l rt phong ph. Thc tin php l Vit Nam cng tng c quan nim cho rng, vn bn khng c ngha ch l vn bn truyn thng, m cn bao gm c nhng ti liu giao dch: cng vn, in bo, n cho hng, n t hng, [214, on 1 iu 11] thm ch khi nim vn bn ngy nay cn bao gm c cc vn kin di dng in bo, telex, fax, thng ip d liu v cc hnh thc khc theo quy nh ca php lut [154, Khon 15 iu 3]. Bi vy, iu khon ny cn phn ha c th, theo hng xc nh cc trng hp giao kt bng vn bn khc nhau th thi im giao kt hp ng c th khng ging nhau, ch khng nn ch d liu bng cch bn sau cng k vo vn bn, nh khon 4 iu 404 BLDS hin hnh. Thit ngh, qui nh ny nn d liu thi im giao kt c trong cc trng hp giao kt gin tip, trn cng mt vn bn; giao kt bng nhiu vn bn c ni dung ging nhau c mi bn lp ra giao cho bn kia; v trng hp ch c bn c ngh tr li chp nhn bng hnh thc vn bn da trn ngh ca bn kia (khng phn bit ngh c c lm bng vn bn hay khng). Mt khc, trnh s tranh ci khng cn thit, qui nh ny cng cn gii thch v vn bn c ch k hp l ca cc bn l , m khng cn phi c ng du, hoc bt k mt th tc no khc, tr trng hp c bng chng r rng ngc li, theo qui nh ca php lut hoc tha thun ca cc bn. Ngoi ra, cc hnh thc tr li bng thng ip d liu s c qui nh trong lut chuyn ngnh. Tt c cc ni dung ny c thit k thnh khon 3 iu 404, c th nh sau: 3. Trong trng hp vic giao kt hp ng c cc bn xc lp trc tip, trn cng mt vn bn, th thi im giao kt hp ng l thi im bn sau cng k vo vn bn; nu hp ng c lp thnh nhiu vn bn c ni dung ging nhau, th hp ng c giao kt ti thi im mi bn k vo vn bn ca bn kia. Vn bn c lp ch cn cc bn hoc ngi i din hp php ca cc bn k tn v ghi r h tn l m khng cn phi c thm th tc no khc, k c vic phi ng du ca cc bn, tr trng hp cc bn tha thun hoc php lut c qui nh iu ny.

119 Nu cc bn giao kt hp ng bng vn bn c gi qua bu in, hoc phng tin thng tin, lin lc khc, hoc nu ch c tr li chp nhn l c lm bng vn bn, th hp ng c giao kt ti thi im bn ngh nhn c vn bn tr li chp nhn, tr trng hp cc bn c tha thun khc hoc php lut c qui nh khc. Thi im nhn c thng ip d liu c p dng theo qui nh ca Lut Giao dch in t. 3.3.1.4. B sung qui nh thi im giao kt hp ng khi bn c ngh tr li chp nhn giao kt bng hnh vi c th Lut hin hnh khng d liu trng hp giao kt hp ng v tr li chp nhn giao kt bng hnh vi c th, mc d y l hnh thc giao dch kh ph bin trong i sng. Vn ny c th c gii quyt bng nhiu gii php khc nhau, vi nhng h qu php l khc nhau, v cn phi c cn nhc thn trng. Thit ngh, vic tr li chp nhn giao kt bng hnh vi c ba kh nng: bn c ngh tr li ngay bng hnh vi c th; bn c ngh tr li sau mt thi gian xc nh v c thng bo v vic thc hin hnh vi c th; bn c ngh tr li sau mt thi hn xc nh nhng khng thng bo. V nguyn tc, vic giao kt l s gp g ch gia cc bn, nn khi cc bn khng trao i bng li ni hay vn bn, m c thc hin bng hnh vi c th, th s chp nhn phi c thng tin cho bn ngh bit, tr trng hp bn kia c th bit c iu ny do tp qun thng mi, hoc do thi quen giao dch gia cc bn. Vic xc nh thi im giao kt cng c hai gii php c th la chn: khi bn c ngh thc hin hon thnh hnh vi, hoc khi bt u thc hin hnh vi. Thit ngh, cn phn bit cc trng hp khc nhau nh sau: (i) Tr li ngay: nu vic tr li c thc hin ngay, bng hnh vi c th th thi im giao kt l thi im bt u hnh vi c th. V d: khch hng vo qun gi thc n, tuy khng tr li nhng ch qun vn vo qun chun b thc n mang ra cho khch ng nh yu cu; hoc khch hng ln xe taxi v thng bo a ch ti x iu khin xe n v tr xc nh, th thi im giao kt l thi im bt u thc hin hnh vi c th : ch qun cho chun b mn n, hoc ti x cho xe khi hnh. Nhng cng khng t cc trng hp m do qui c, hoc do c tha thun trc, bn c ngh phi thc hin xong nhng hnh vi c th th hp ng mi c giao kt. V d: bn c ha thng phi t c kt qu v bn giao kt qu cho bn

120 ha thng, th s c tr thng: Trong trng hp mt cng vic c ha thng do mt ngi thc hin th khi cng vic hon thnh, ngi thc hin cng vic c nhn thng [15, khon 1 iu 592]. Bi vy, trong trng hp ny cn phi qui nh theo hng: nguyn tc chung l giao kt ti thi im bt u thc hin cng vic, tr nhng ngoi l do php lut qui nh, hoc cc bn c tha thun khc. (ii) Tr li sau mt thi hn: Trong hon cnh bnh thng th hp ng giao kt ti thi im bn c ngh bt u thc hin cng vic v bn ngh nhn c thng bo v thi im bt u cng vic. Nhng nu bn thc hin cng vic khng chu thng bo v vic bt u thc hin cng vic, th thi im giao kt hp ng l thi im cng vic c thc hin hon thnh. (iii) Nu do n nh trc trong ngh, hoc do thi quen c xc lp gia cc bn, hoc do tp qun m vic chp nhn bng hnh vi c th khng cn phi thng bo, th hp ng giao kt lc bt u cng vic. Nh vy, ni dung ny c thit k thnh ba on khc nhau ca khon 4 iu 404, c th nh sau: 4. Trong trng hp bn c ngh tr li chp nhn giao kt hp ng bng mt hnh vi c th, th hp ng c giao kt ti thi im bn c ngh bt u thc hin hnh vi , tr trng hp php lut c qui nh khc. Nu hp ng c giao kt gin tip, hoc tuy giao kt trc tip m mt hoc cc bn dnh mt thi hn ch bn c ngh tr li, th hp ng c giao kt ti thi im bn ngh nhn c thng bo ca bn c ngh v vic bt u thc hin hnh vi c th . Nu bn c ngh tr li chp nhn bng vic thc hin mt cng vic c th nhng khng thng bo v vic ny cho bn ngh bit, th hp ng giao kt vo thi im hon thnh cng vic. Nhng nu theo ngh giao kt hp ng, hoc theo thi quen c xc lp gia cc bn, hoc theo tp qun, bn c ngh c th chp nhn ngh bng mt hnh vi c th m khng cn phi thng bo cho bn ngh, th hp ng c giao kt khi bn c ngh bt u thc hin hnh vi ny. 3.3.1.5. B sung qui nh v thi im giao kt hp ng bng s im lng Im lng t n khng phi l s tr li chp nhn. Nhng c th do cc bn tha thun trc (qui c trc), do php lut qui nh, hoc do thi quen gia cc bn c xc lp vi nhau, th im lng cng c xem nh tr li chp nhn, vi iu

121 kin: (i) cc bn c tha thun n nh thi hn tr li, (ii) ht thi hn n nh m bn c ngh khng tr li, v cng khng hnh ng g (khng phn i), th hp ng c giao kt ti thi im . Trong qui nh ny, khng nn a tp qun vo lm cn c xc nh im lng l giao kt hp ng, v xc nh tp qun trong trng hp ny kh phc tp. Hn na, c qui nh chung v vic p dng tp qun trong vic gii quyt cc tranh chp dn s ti iu 3 BLDS 2005. trnh s lm dng ca cc thng gia, hn ch vic xm phm ti quyn li ngi tiu dng v bo v quyn t do kt c, qui nh ny cn c loi tr p dng i vi vic ngh giao kt hp ng bng cch gi thng tin qung co hng ha v cho mi mua sn phm, hoc bng vic gi hng ha trc tip n ngi tiu dng. Mt khc, thng tin qung co cng khng c xem l mt ngh giao kt hp ng, v ni dung, tnh cht ca n khng p ng cc tiu chun php l cn thit. Nhng trnh nhng tranh ci hoc sai lm trong p dng php lut, trng hp ny cn c loi tr mt cch minh th. Theo , khon 2 iu 404 BLDS 2005 c sa i, b sung v thit k thnh khon 5 iu 404 (mi) nh sau: 5. Theo tha thun, hoc theo thi quen c xc lp gia cc bn, hoc php lut c qui nh im lng l s tr li, v ngh giao kt hp ng c n nh thi hn tr li, th hp ng cng xem nh c giao kt khi ht thi hn tr li m bn c ngh vn im lng. Qui nh ny khng p dng i vi vic doanh nghip bn hng c gi cc thng tin qung co hoc gi hng ha n a ch giao dch ca ngi tiu dng. 3.3.2. Sa i, b sung qui nh ti iu 405 B lut Dn s 2005 v thi im c hiu lc ca hp ng Cn b sung qui nh v thi im c hp ng lc ca hp ng do cc bn tha thun. Nguyn tc t do hp ng cho php cc bn t do tha thun ni dung ca hp ng, nhng khng vi phm iu cm ca php lut v khng tri o c x hi [15, iu 128 v khon 1 iu 389]. iu 405 BLDS 2005 cng qui nh cc bn c quyn tha thun khc v thi im c hiu lc ca hp ng. Tuy vy, vic tha thun ny c th nh th no th li c nhiu kin tranh ci. Thc tin xt x v vn ny cng cha c s nht qun. c s thng nht trong nhn thc v p dng qui nh ny, thit ngh cn lm r cc vn : cc bn c th tha thun thi im c hiu lc ca hp ng khc vi thi im do php lut qui nh hay khng, v nu c th

122 gii hn ny l ti u (?). Theo tc gi, nn qui nh cc bn c quyn tha thun thi im c hiu lc ca hp ng theo nguyn tc t do hp ng, nhng cn phn bit s khc nhau gia cc trng hp sau: - Th nht, tha thun thi im c hiu lc ca hp ng mun hn thi im giao kt, hoc mun hn thi im c hiu lc do php lut qui nh: trng hp ny v nguyn tc l c, v php lut khng cm. Thc tin php l cho thy, cc bn c th tha thun thi im c hiu lc ca hp ng li v sau thi im hp ng c giao kt hoc sau thi im c hiu do php lut qui nh vi loi hp ng . Thi im ny c th c cch xc nh bng mt mc thi gian, hoc bng mt s kin php l c th xy ra trong tng lai, hoc bng mt iu kin nht nh, tr trng hp vi phm iu cm ca php lut. - Th hai, tha thun li thi im c hiu lc ca hp ng v trc, sm hn thi im giao kt. V d: hp ng c giao kt thc t vo ngy 10/10/2008, nhng cc bn tha thun trong hp ng ngy 10/10/2007 l ngy bt u c hiu lc ca hp ng. Trng hp ny l khng th chp nhn v ba l do sau: (i) iu ny mu thun vi bn cht php l ca hp ng v hp ng ch c xc lp khi cc bn tha thun xong ni dung ca hp ng, v v quan h hp ng gia cc bn ch tn ti khi hp ng c giao kt; (ii) Vic cho php cc bn tham gia tha thun thi im c hiu lc ca hp ng li li trc thi im giao kt hp ng c th pht sinh nhiu hu qu php l phc tp, nh to k h cho cc bn ln trnh php lut (trn thu, hp thc ha ti sn c ngun gc phm php, hp php ha chng t, ha n, rt ngn thi hiu khi kin, ln trnh p dng php lut Vit Nam hin hnh), xm phm ti quyn li hp php ca ngi th ba (gy thit hi cho ngi th ba ngay tnh), trc li bt chnh t hp ng (v d: trc li t bo him); (iii) Thc tin php lut ca cc nc theo h thng Anh - M cng khng chp nhn cc hp ng c cc ngha v i ng thuc v qu kh, m thc cht l s tha thun giao kt hp ng nhm ti xc nhn cng vic xy ra trc . V d: A ra xe cho B. Sau , B a ra cam kt nu A ra xe cho B th B s tr cho A 10 USD. Trng hp ny, B khng phi tr cho A 10 USD nh ha v trn thc t, A ra xe cho B trc khi B ha tr tin. y l ngha v i ng qua (past consideration) nn khng c hiu lc rng buc i vi cc bn [324, tr.46; 301, tr.8]. y l mt kinh nghim rt ng quan tm khi xem xt sa i cc qui nh lin quan ni trn.

123 Cn phn bit tha thun di ngy c hiu lc ca hp ng v trc vi vic ghi li ngy k hp ng. V d: A cho B thu nh vi thi hn 1 nm. Hp ng c tha thun bng ming. A giao nh cho B s dng ngy 01/01/2008. hp thc ha giy t v lm th tc np thu, nn n ngy 30/10/2008, cc bn lm hp ng thu nh bng vn bn, v ghi li ngy k hp ng v trc ng thi im giao nh trn thc t. Trong trng hp ny, nu cc bn khng c tranh chp v khng xm phm quyn li hp php ca ngi th ba, th hp ng c th c chp nhn, v php lut cng khng cn phi iu chnh. Nhng nu vic ghi li ngy k hp ng sm hn v trc ngy thc t k hp ng nhm lp hp ng gi to, nhm ln trnh php lut, hoc vi phm iu cm ca php lut m cc bn c tranh chp, th hp ng b tuyn b v hiu theo qui nh chung. - Th ba, vic tha thun thi im c hiu lc ca hp ng khc vi thi im do php lut n nh. y l vn php l phc tp v hin c nhiu kin khc nhau. Tuy nguyn tc c bn ca php lut hp ng l nguyn tc t do hp ng, nhng vic tha nhn quyn t do hp ng khng c ngha l cho php cc bn xc lp cc tha thun vi phm iu cm ca php lut, tri o c x hi, hoc xm phm ti li ch ca nh nc, li ch ca cng cng, quyn v li ch hp php ca ngi khc. Hn na, i vi cc c quan c thm quyn cng chng, chng thc hp ng, th vic kim tra tnh hp php ca hp ng c tha thun li ngy pht sinh hiu lc tr v trc thi im cng chng, chng thc l vt qu kh nng nghip v, cng nh lm tng nng trch nhim ngh nghip ca cc c quan, t chc ny v gy ra cc hu qu php l phc tp, kh lng. Bi vy, khng nn cho php tha thun li thi im c hiu lc ca hp ng v sm hn thi im m php lut n nh cho loi hp ng . V d: hp ng tng cho nh gia c nhn vi nhau c cng chng vo ngy 10/8/2008, th khng th tha thun li ngy c hiu lc l 01/01/2008 v y l yu cu php l ti thiu hp ng tng cho nh c hiu lc; hoc hp ng cm c ti sn c xc lp vo ngy 01/01/2009 (ngy giao ti sn cm c), th khng th tha thun thi im c hiu lc l ngy 01/10/2008. T nhn thc trn, tc gi kin ngh b sung qui nh cho php cc bn c tha thun thi im c hiu lc ca hp ng v thit k thnh khon 2 iu 405: 2. Cc bn c th tha thun thi im c hiu lc ca hp ng l mt thi im xc nh, nhng khng c sm hn thi im giao kt hp ng theo qui nh

124 ti iu 404 ca B lut ny. Nu php lut c qui nh hp ng c hiu lc ti mt thi im xc nh, th cc bn khng c tha thun thi im c hiu lc ca hp ng sm hn thi im . Theo qui nh ny, cc bn c tha thun thi im c hiu lc ca hp ng khc vi thi im c hiu lc m php lut n nh cho loi hp ng , nhng khng c tha thun hiu lc hi t ca hp ng v sm hn thi im c hiu lc ca hp ng do php lut qui nh. KT LUN CHNG 3 1. Thi im c hiu lc ca hp ng l vn php l quan trng xc nh thi im khi lu ca hiu lc hp ng. iu 405 BLDS 2005 qui nh nguyn tc: hp ng c giao kt hp php th c hiu lc i vi cc bn t thi im giao kt, tr trng hp cc bn c tha thun khc, hoc php lut c qui nh khc. Ngoi ra, xc lp cn c php l cho vic xc nh thi im c hiu lc ca hp ng, BLDS 2005 cng qui nh chi tit v trnh t giao kt hp ng, v c bit l xc nh r thi im giao kt hp ng, da trn cc hnh thc khc nhau ca hp ng. 2. Nhng qua nghin cu cng cho thy, thc trng cc qui nh ny vn cn bc l nhiu thiu st, bt cp nh: vic xc nh thi im giao kt hp ng da trn yu t hnh thc ca hp ng l cha khoa hc, cha cht ch; ni dung iu lut cha d liu ht cc tnh hung ca thc tin i sng v b cc iu lut cng cha hp l; qui nh v thi im c hiu lc ca hp ng theo tha thun ca cc bn vn cha c th nn cn gy ra nhiu cch hiu khc nhau.v.v. Thc tin xt x lin quan n vic xc nh thi im giao kt v thi im c hiu lc ca hp ng trong mt s v n vn cn lng tng v cha c s nht qun gia cc cp ta n. T , i hi cn phi xem xt li mt s qui nh ti cc iu 404, iu 405 BLDS 2005 v vic xc nh thi im giao kt v thi im c hiu lc ca hp ng. 3. T nhn thc , mc 3 trnh by kin xut sa i, b sung ton din qui nh ti iu 404 BLDS 2005, v sa i, b sung mt phn qui nh ti iu 405 BLDS 2005, vi nhng gi c th v ni dung ca tng iu khon km theo, nh: kin ngh sa i, b sung khon 2 iu 404 v giao kt hp ng trong trng hp bn c ngh im lng (thnh khon 5 mi), b sung qui nh v giao kt hp ng thng qua vic bn c ngh tr li bng hnh vi c th (thnh khon 4 mi)...

125 Chng 4

HIU LC RNG BUC CA HP NG

Hiu lc rng buc ca hp ng l h qu php l tt yu th hin bn cht ca hiu lc hp ng [227, tr.77].Trong hon cnh thng thng th bt k ai tham gia xc lp, giao kt hp ng cng u k vng cc bn i tc phi tn trng v thc hin ng hp ng. Nh mt hc gi tng nhn xt: Chc nng ca php lut hp ng, suy cho cng l to ra s t do cho cc bn nh ot v cc c ch h tr s t nh ot c tun th, gp phn bin cc tha c gia cc c nhn hoc t chc tr thnh c hiu lc nh l lut [200, tr.48-9]. Vi ngha , vn hiu lc rng buc hp ng lun c xem l mt trong nhng ni dung php l quan trng c php lut ca cc quc gia qui nh c th trong phn chung v hp ng, v trong cc qui nh khc c lin quan. Chng ny trnh by ba vn : Khi nim v cc qui nh chung v hiu lc rng buc ca hp ng; Mt s bt cp trong php lut v thc tin p dng cc qui nh v hiu lc rng buc ca hp ng; Kin ngh hon thin cc qui nh ca php lut v vn ny. 4.1. HIU LC RNG BUC CA HP NG: KHI NIM V CC QUI NH 4.1.1. Khi nim hiu lc rng buc ca hp ng Hp ng c giao kt, xc lp hp php th c php lut tha nhn v bo m thc hin, tc c php lut cng nhn l c gi tr php l. Cc hc gi cng cho rng, khi hp ng c thit lp, cc bn tham gia phi tn trng v coi hiu lc ca hp ng ging nh s rng buc ca php lut [123, tr.173]. iu ny cho php l gii v sao BLDS Php li chnh thc tha nhn hp ng c giao kt hp php c gi tr l lut gia cc bn [19, iu 1134]. Ging nh cc ngha v php nh, ngha v trong hp ng cng c th c php lut bo m thc hin bng s cng ch ca nh nc. V th, c th v hp ng nh l mt phnca php lut t, hay l mt hnh thc php lut ni di trong lnh vc lut t. Nh vy, c th hiu hiu lc rng buc ca hp ng l gi tr php l ca hp ng, c php lut bo v v bo m thc hin bng cc bin php ch ti thch hp, nhm buc cc bn tham gia phi tn trng, thc hin ng hp ng. Mt hp ng hp php c hiu lc rng buc v c gi tr nh lut i vi cc bn.

126 S d ni hp ng c gi tr nh lut i vi cc bn, l ni n vic tha thun trong hp ng gia cc bn to ra quyn v ngha v rng buc gia h vi nhau, v cc bn cng b buc phi thc hin cc quyn v ngha v ging nh cc quyn v ngha v lut nh. Nh vy, tuy cc bn tham gia hp ng khng phi l nhng ngi c thm quyn sng to lut (v d nh nh lp php trong cc nc theo Lut thnh vn, hoc Ta n trong cc nc theo Lut n l), nhng li c th t nguyn tha thun lm pht sinh quyn v ngha v php l rng buc ln nhau. Cc quyn v ngha v ny c php lut tha nhn v bo m thc hin bng cc bin php cng ch mang tnh php l. Theo , hnh vi ca cc bn vi phm ngha v trong hp ng cng b coi l hnh vi tri php lut, v c th b buc phi chu trch nhim php l vi nhng ch ti thch hp. Gi tr php l ging nh lut ca hp ng cn c th hin ch n to ra s rng buc mang tnh php l i vi cc bn tham gia, nhm buc cc bn tham gia phi nghim tc thc hin cc quyn v ngha v pht sinh t hp ng. Ni dung ny i hi cc bn phi tn trng v thc hin ng nhng g m cc bn cam kt trong hp ng mt cch trung thc, thin ch. iu ny cho php suy rng ra, hiu lc rng buc ca hp ng c ngha l k t khi hp ng pht sinh hiu lc, cc bn khng c t chi thc hin hp ng, khng c rt li nhng g cam kt, v t chu trch nhim v vic khng thc hin hoc thc hin khng ng ngha v, nu khng t nguyn thc hin th c th b cng ch thc hin theo quy nh ca php lut [15, iu 7]. Nhng cng cn phi xc nh r hp ng khng phi l lut. Bi l, hiu lc rng buc ca hp ng khng hon ton ging hiu lc ca php lut, m ch l gi tr php l hay s rng buc mang tnh php l c php lut tha nhn v bo m thc hin. Ni chnh xc, gi tr php l ca hp ng khng th c coi l php lut, theo ng bn cht ca phm tr ny. Bi v, suy cho cng, bt k hp ng no c lp ra u phi tun th cc gii hn, cc iu kin php l do php lut qui nh v c th b hy b, nu hp ng c lp khng hp php. Cng c lc cc iu khon ca hp ng c p dng u tin hn php lut. Php lut cho php cc bn tham gia hp ng c tha thun xc lp hp ng vi bt k ni dung v mc ch g m lut khng cm. Theo , cc bn tham gia hp ng cng c quyn t do nh ot ni dung c th ca hp ng khc vi php lut,

127 thm ch ngoi php lut, min sao khng tri lut. Khi xy ra tranh chp, c quan p dng php lut s cn c vo ni dung hp ng gii quyt: chn ta n hoc trng ti, chn lut lm cn c gii quyt tranh chp, chn la bin php trch nhim v ch ti p dng cho nhng vi phm hp ng Tuy vy, hiu lc ca hp ng khng th so snh c vi hiu lc ca php lut, v php lut l tng th cc qui tc x s chung c c quan nh nc c thm quyn ban hnh theo trnh t, th tc lut nh, c tm hiu lc bao qut v c c gi tr bt buc chung vi mi ngi [235, tr.66; 277, tr.126 -7]. Cn hp ng c giao kt hp php th c hiu lc nh php lut [247, tr.11], nhng l php lut ca cc bn [4, tr.7]. C ngha, hiu lc ca hp ng l to ra quyn v ngha v ring cho cc bn ch khng c hiu lc bt buc chung nh php lut. Ni cch khc, hp ng nh cc qui phm t nhn c to ra t ch ca t nhn [168, tr.244] rng buc ch i vi cc bn tham gia hp ng m thi. Bi vy, hiu lc ca hp ng khng phi l hiu lc vt ln trn php lut m ch l hiu lc c bo m bi php lut. S bo m ca php lut c th hin nhiu kha cnh, nhng ni bt nht l vic qui nh c th v cc iu kin, yu t php l cn thit hp ng c hiu lc thi hnh, v qui nh v c ch php l cn thit bo m cho gi tr php l ca hp ng c cc bn tham gia, cc c nhn, t chc v c c quan nh nc c thm quyn lin quan, phi tn trng v tun th. Tm li, c ba im khc bit c bn gia hiu lc rng buc ca hp ng so vi hiu lc ca php lut: mt l, hp ng do ch t nhn to ra cn php lut do ch ca nh lm lut to ra; hai l, hp ng ch c hiu lc vi cc bn lin quan cn php lut c tnh quyn lc bt buc chung i vi mi ch th trong x hi, k c vi nh lm lut; ba l, hp ng c xc lp tun theo cc iu kin lut nh v hp ng s khng c gi tr php l nu vi phm cc iu kin . Nhn thc v xc nh ng mc vn hiu lc ca hp ng c ngha l lun v thc tin to ln trong vic xy dng v thc thi php lut. Trn c s l lun ny, nh lm lut c th a ra cc qui nh ph hp v iu kin c hiu lc hp ng, thi im c hiu lc hp ng, cc iu khon thng l c tnh cht b khuyt cho cc thiu st ca hp ng, cc cn c v cc qui tc gii thch hp ng, cc bin php php l nhm buc cc bn tham gia thc hin ng hp ng, cng nh cc loi trch nhim dn s v cc ch ti thch hp khi c s vi phm hp ng

128 4.1.2. Qui nh chung ca php lut v hiu lc rng buc ca hp ng Hiu lc rng buc ca hp ng khng ch l s tun th hp ng mt cch chung chung m l mt h thng cc nguyn tc, cc gii php mang tnh cng ch phc tp. Ton b ni dung ca hiu lc rng buc hp ng c qui nh ri rc trong nhiu phn khc nhau ca BLDS 2005 v cc qui nh khc ca cc lut chuyn ngnh v hiu lc rng buc ca cc hp ng chuyn bit. Ni dung mc ny khng trnh by tt c cc qui nh lin quan v vic thc hin ngha v hp ng ni chung, hay hiu lc rng buc ca cc hp ng c th ni ring, m ch tp trung lm r nhng vn php l c bn nht v hiu lc rng buc ca hp ng trong phn cc qui nh chung ca BLDS 2005 v hp ng. Cc ni dung c bn ny c th hin trong cc ni dung c th sau y: 4.1.2.1. Cc nguyn tc chung ca qui nh v hiu lc rng buc hp ng Cc qui nh php lut v hiu lc thi hnh bt buc ca hp ng l mt b phn quan trng ca ch nh hp ng v chu s chi phi bi tp hp cc nguyn tc php l c lin quan, trong c cc nguyn tc chung sau y: (1) Nguyn tc tn trng hiu lc rng buc ca hp ng: y l nguyn tc c bn nht ca qui nh php lut v hiu lc hp ng. Trc y, nguyn tc ny c chnh thc ghi nhn ti iu 404 BLDS 1995: Hp ng c giao kt hp php c hiu lc bt buc i vi cc bn. Hin iu 404 BLDS 1995 c sa i bi iu 405 BLDS 2005, nhng iu 405 BLDS 2005 khng gi li ni dung tng ng va nu. Tuy vy, tinh thn ca nguyn tc ny cng c tha nhn trong mt qui nh khc ca BLDS 2005: Cam kt, tho thun hp php c hiu lc bt buc thc hin i vi cc bn v phi c c nhn, php nhn, ch th khc tn trng (on 3 iu 4). Theo tinh thn , khng ch hp ng m mi cam kt, tha thun do cc bn ch th ca quan h php lut dn s to ra da trn s t do, t nguyn th c hiu lc thc hin i vi cc bn lin quan. Ngoi ra, cc cam kt cn c c nhn, t chc khc tn trng. y l nguyn tc c bn mang tnh nh hng v th hin bn cht ca hiu lc rng buc ca hp ng. (2) Ngoi nguyn tc c bn ni trn, BLDS 2005 cn qui nh cc nguyn tc chung khc chi phi vic thc hin ngha v dn s v thc hin hp ng dn s ni chung. l cc nguyn tc: Thc hin ng hp ng, ng i tng, cht lng, s lng, chng loi, thi hn, phng thc v cc tho thun khc (khon 1 iu

129 412); Thc hin mt cch trung thc, theo tinh thn hp tc v c li nht cho cc bn, bo m tin cy ln nhau (khon 2 iu 412) v Khng c xm phm n li ch ca Nh nc, li ch cng cng, quyn, li ch hp php ca ngi khc (khon 3 iu 412). ng thi, vic thc hin ngha v ni chung cn phi tun theo qui nh: Bn c ngha v dn s phi thc hin ngha v ca mnh mt cch trung thc, theo tinh thn hp tc, ng cam kt, khng tri php lut, o c x hi (iu 283). Vic cam kt tha thun v thc hin cc quyn, ngha v cng phi tn trng nguyn tc chung nht ca php lut dn s l nguyn tc t do, t nguyn cam kt tha thun (iu 4). Tm li, cc qui nh chung v hiu lc rng buc ca hp ng chu s chi phi ca nhiu nguyn tc. Trong , nguyn tc t do, nguyn tc thin ch, trung thc, ngay thng, v nguyn tc thc hin ng hp ng l cc nguyn tc quan trng chi phi vic xc lp, thc hin hp ng. H qu ca nguyn tc t do ch l hp ng c to lp hp php th c hiu lc rng buc i vi cc bn t nguyn chp nhn n. H qu ca nguyn tc trung thc, thin ch, ngay thng l hiu lc cng ch buc cc bn phi thc hin ng ngha v trong hp ng v khng bn no c quyn n phng rt lui khi hp ng [247, tr.11]. H qu ca nguyn tc buc thc hin ng hp ng l c s php l chung nht cho vic xy dng cc qui nh v cc gii php php l tng ng thc hin cc ngha v hp ng. 4.1.2.2. Buc cc bn tham gia phi thc hin ng ngha v trong hp ng Bn cnh nhng qui nh trc tip v cc nguyn tc thc hin hp ng nu trn, php lut hin hnh cn c nhiu qui nh khc lin quan iu chnh vic thc hin ng ngha v trong hp ng, nh qui nh trong phn chung ca BLDS 2005 (iu 9), qui nh ti mc 7 chng XVII (iu 412 422), mc 2 chng XVII (iu 283 301), cc qui nh v thc hin cc hp ng c th trong chng XVIII v cc hp ng thng dng v cc qui nh v vic thc hin hp ng chuyn bit trong cc lut chuyn ngnh. Trn tinh thn , BLDS qui nh cc bn tham gia hp ng phi nghim tc thc hin ngha v hp ng, v cn phi thc hin ng ni dung ca cc ngha v pht sinh t hp ng. Theo BLDS 2005, vic thc hin ng ni dung ngha v hp ng ngha l thc hin ng cc yu cu sau y: - Thc ngha v hp ng ng i tng. i tng ca hp ng c th l ti sn, cng vic phi thc hin, cng vic khng c thc hin. Cc iu kin v yu

130 cu c th v vic thc hin ngha v hp ng ng i tng c qui nh ti cc iu 289 iu 291 BLDS 2005 v cc qui nh khc c lin quan. - Thc hin ngha v hp ng ng thi hn. Thi hn thc hin hp ng l khong thi gian do cc bn tha hoc php lut qui nh m trong khong thi gian cc bn c ngha v phi thc hin xong ngha v ca mnh. Cc iu kin vic thc hin ngha v hp ng c coi l ng thi hn c qui nh ti cc iu 285 iu 287 BLDS 2005. - Thc hin ngha v hp ng ng a im. a im thc hin hp ng l ni din ra vic thc ngha v hp ng gia bn c ngha v i vi bn c quyn. Bn c ngha v phi thc hin ngha v hp ng ng cc qui nh v a im thc hin ngha v ti iu 284 BLDS 2005 v cc qui nh khc c lin quan. - Thc hin ngha v hp ng ng phng thc. Phng thc thc hin hp ng l cch thc, phng php hoc bin php thch hp tng ng vi bn cht, yu cu ca tng loi ngha v xc nh m bn c ngha v phi thc hin ng, nhm tha mn quyn li ca bn c quyn. Ni dung, iu kin thc hin ngha v ng phng thc c qui nh ti cc iu 292 293, v iu 297 301 BLDS 2005. - Vic thc hin ng hp ng cng c ngha phi thc hin ng tt c cc ni dung, cc iu kin v iu khon khc m cc bn tha thun trong hp ng. - Ngoi ra, BLDS 2005 cng qui nh v cc nguyn tc ring bit thc hin cc hp ng n v (iu 413); thc hin hp ng song v (iu 414 & iu 415); thc hin hp ng v li ch ca ngi th ba (iu 419 421) v thc hin hp ng c tha thun pht vi phm (iu 422) Trn c s c s bo m ca php lut, bn c quyn c yu cu v bn c ngha v phi nghim chnh thc thi cc ngha v ca mnh trong hp ng v theo ng cc yu cu ca nguyn tc thin ch, hp tc v ngay thng: hp ng c lp hp php th phi c cc bn thc hin nghim chnh v ngay tnh [227, tr.77]. Gi tr rng buc ca hp ng cn c bo m bi php lut, bng vic qui nh cc ch ti php l cn thit khi cc bn khng thc hin, thc hin khng ng, khng y ngha v hp ng. Bn vi phm hp ng trong nhng trng hp khng c php lut cho php th phi chu trch nhim dn s trc bn c quyn b vi phm. Nh vy, hiu lc cng ch thc hin ng ngha v trong hp ng c

131 th hin hai kha cnh: s bt buc phi thc hin ng cc iu khon ca hp ng v nhng bin php cng ch nhm bo m ngha v hp ng c tun th. 4.1.2.3. Khng c t chi thc hin ngha v v khng c rt khi hp ng V mt l gch php l, khi hp ng c hiu lc, cc bn khng c t chi thc hin ngha v v khng c quyn n phng rt khi hp ng, nu iu khng c qui nh minh th trong lut hoc khng c d liu trong hp ng. Nguyn tc khng n phng rt khi hp ng va l h qu tt yu ca hiu lc bt buc ca hp ng, va l mt th hai ca hiu lc hp ng [227, tr.77]. Bi l, mt khi hp ng c xc lp v c hiu lc php lut th khng ch c gi tr php l lm pht sinh quyn, ngha v ca cc bn, buc cc bn phi tn trng v thc hin, m cn ngn cn v khng cho php cc bn c t chi thc hin ngha v hay hay rt lui khi hp ng. y chnh l bn cht ct li ca hiu lc hp ng. Thng thng, khi nghin cu v hiu lc hp ng, ngi ta thng ch ch trng ti hiu lc rng buc cc bn phi thc thi hp ng, ch t ch ti hiu lc ngn cn cc bn khng c rt lui khi hp ng. Mc d nguyn tc hiu lc rng buc cc bn phi thc hin ng ngha v ca hp ng dng nh bao hm c vic cc bn khng c t chi thc hin v khng c quyn rt lui khi hp ng. Tuy vy, trong nhiu trng hp, nguyn tc khng n phng rt lui khi hp ng li c tnh c lp tng i v c ngha v cng quan trng, nht l trong cc hp ng song v, khi mt bn khng chu thc hin ngha v theo hp ng v cho rng bn kia vi phm ngha v tng ng i vi mnh. Ngc li, mt khi xem hiu lc ngn cn cc bn khng c rt lui khi hp ng nh l nguyn tc th hai ca hiu lc hp ng, th cng c ngha l nh lm lut cn phi qui nh nhng cn c hay nhng trng hp ngoi l cho php cc bn c quyn n phng rt khi hp ng, nu c cn c hp php. Cng vi cc nguyn tc v cc gii php c th buc cc bn phi thc hin ng hp ng v khng c rt lui khi hp ng nu khng c cn c hp php, php lut hin hnh cn qui nh v cc bin php ch ti tng ng m bo cho vic tun th nghim tc hp ng.

132 4.1.2.4. Hiu lc rng buc ca hp ng c bo m bng cc bin php ch ti thch hp S m bo thc hin ca ngha v thng gn vi ch ti nht nh, v khi ni ti s rng buc php l c ngha l ni ti s cng ch thi hnh, v ch ti phi c nhc n trong s cng ch [38, tr.17]. iu 7 BLDS 2005 cng qui nh nu cc bn khng t nguyn thc hin (ngha v) th c th b cng ch thc hin theo quy nh ca php lut. hiu lc rng buc ca hp ng c tn trng v ngha v trong hp ng c thc hin ng, nh lm lut thng qui nh nhng ch ti nht nh tng ng vi tng loi ngha v b vi phm. Ch ti l c s php l buc bn vi phm ngha v phi gnh chu trch nhim dn s nht nh. Ni dung ca trch nhim dn s thng th hin di cc hnh thc cng ch c th mang tnh ti sn. Ty vo i tng ca hp ng m php lut qui nh nhng bin php cng ch khc nhau i vi bn vi phm ngha v , nh: buc phi tip tc thc hin ng cc cng vic c xc nh trong hp ng, buc phi bi thng thit hi, b pht vi phm, b pht cc (mt ti sn t cc hoc tr li ti sn cc v s tin tng ng), buc sa cha ti sn, thay th vt khc, buc phi chu gim thu nhp, buc phi chu chi ph v chu ri ro Theo qui nh ca php lut Vit Nam, cc bin php trch nhim nhm cng ch thc hin ngha v dn s ni chung v hp ng ni ring, c qui nh c th trong mc 3, chng XVII, Phn th ba ca BLDS 2005, t cc iu 302 iu 308. Ngoi ra, vic cng ch thc hin ngha v trong cc loi hp ng c th cn c qui nh trong Chng XVIII, Phn th ba BLDS 2005 v cc hp ng thng dng v trong cc lut chuyn ngnh. Nguyn tc chung l: Bn c ngha v m khng thc hin hoc thc hin khng ng ngha v th phi chu trch nhim dn s i vi bn c quyn (khon 1 iu 302). Theo , BLDS 2005 qui nh cc ch ti c th l: - Nu i tng ca ngha v l mt vt c nh th bn c ngha v phi giao ng vt hoc phi thanh ton gi tr vt trong trng hp vt gim st gi tr hoc vt b mt mt hay b tiu hy, ng thi phi bi thng thit hi (khon 1, 3 iu 303); nu bn c ngha v khng thc hin c ngha v giao vt cng loi th phi thanh ton gi tr ca vt, ng thi phi bi thng thit hi (khon 2, 3 iu 303). - Nu i tng l cng vic phi thc hin m bn c ngha v khng thc hin th bn c quyn c th yu cu bn c ngha v tip tc thc hin hoc t mnh

133 thc hin hoc giao cho ngi khc thc hin cng vic v yu cu bn c ngha v thanh ton chi ph hp l v bi thng thit hi (khon 1 iu 304); nu i tng l cng vic khng c thc hin m bn c ngha v li thc hin cng vic th bn c quyn c quyn yu cu bn c ngha v phi chm dt vic thc hin, khi phc tnh trng ban u v bi thng thit hi (khon 2 iu 304). - i vi ngha v c thi hn m bn c ngha v chm thc hin ngha v th bn c quyn c th gia hn bn c ngha v hon thnh ngha v; nu qu thi hn ny m ngha v vn cha c hon thnh th theo yu cu ca bn c quyn, bn c ngha v vn phi thc hin ngha v v bi thng thit hi; nu vic thc hin ngha v khng cn cn thit i vi bn c quyn th bn ny c quyn t chi tip nhn vic thc hin ngha v v yu cu bi thng thit hi (khon 1 iu 405); Trong trng hp bn c ngha v chm tr tin th bn phi tr li i vi s tin chm tr theo li sut c bn do Ngn hng Nh nc cng b tng ng vi thi gian chm tr ti thi im thanh ton, tr trng hp c tho thun khc hoc php lut c quy nh khc (khon 2 iu 405). - Nu do bn c quyn chm tip nhn vic thc hin ngha v dn s lm pht sinh thit hi cho bn c ngha v th phi bi thng thit hi cho ngi v phi chu mi ri ro xy ra k t thi im chm tip nhn, tr trng hp c tho thun khc hoc php lut c quy nh khc (iu 406). - Ngoi ra, khi bn c ngha v vi phm ngha v m gy thit hi cho bn c quyn th bn vi phm ngha v cn phi chu trch nhim bi thng thit hi cho bn c quyn b vi phm (iu 407 v iu 408). Nhn chung, php lut Vit Nam qui nh rt c bn v cc bin php cng ch c th tng ng vi tng loi ngha v khi ngha v b vi phm; cc gii php cng ch c a ra l kh ton din v tng i c th. Theo , nh lm lut Vit Nam qui nh bin php cng ch thc hin ng ni dung cc ngha v trong hp ng l bin php u tin. Trong trng hp ngha v hp ng khng th thc hin c th c th s dng nhng bin php cng ch khc thay th, nh pht vi phm nu cc bn c tha thun (iu 422), pht cc (khon 2 iu 358), bi thng thit hi (iu 307), chu ri ro i vi ti sn (iu 306, khon 5 iu 498, khon 3 iu 546, iu 533).

134 Ngoi cc qui nh chung va trnh by, BLDS 2005 cn d liu mt s trng hp ngoi l m bo cho hiu lc rng buc ca hp ng c tn trng da trn nguyn tc trung thc, thin ch, hp tc v nguyn tc cng bng. V d: theo BLDS 2005, mt bn c quyn hy b hoc n phng chm dt hp ng theo cc cn c v iu kin do php lut qui nh (iu 425 & iu 426); quyn hon thc hin ngha v trong hp ng song v (iu 414); khng th thc hin ngha v do li ca bn c quyn (iu 417); khng th thc hin c ngha v nhng khng do li ca bn no (iu 418) Tuy vy, do gii hn v phm vi v dung lng ca Lun n nn phn ny khng trnh by v cc ngoi l nu trn. 4.2. MT S BT CP TRONG PHP LUT V THC TIN P DNG CC QUI NH V HIU LC RNG BUC CA HP NG 4.2.1. Hiu lc rng buc ca hp ng cha c php lut hin hnh qui nh c th Vn hiu lc rng buc ca hp ng tng c qui nh trong BLDS 1995 (iu 404). Tuy vy, qui nh ny khng c a vo trong iu lut tng ng iu 405 BLDS 2005. Thot nhn, c th lm tng BLDS 2005 cng c qui nh v hiu lc rng buc ca hp ng, v tiu ca iu lut ny l Hiu lc ca hp ng. Tuy vy, ni dung ca iu 405 BLDS 2005 khng phn nh iu , v qui nh ny ch iu chnh v thi im c hiu lc ca hp ng: Hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc. So vi BLDS 1995 th BLDS 2005 b i cc qui nh c th v hiu lc hp ng. Nh vy, hiu lc rng buc ca hp ng hin l vn cn b b ng trong lut hin hnh. Ring i vi cch qui nh hin nay ti iu 405 BLDS 2005, theo tc gi, vn cn nhng im cp sau y: Th nht, v k thut php l, gia ni dung vi tiu ca iu lut cha c s thng nht. C th thy, vi tiu l Hiu lc ca hp ng dn s, th ni dung tng ng ca iu lut phi l nhng qui nh phn nh ng bn cht ca vn hiu lc ca hp ng, l hiu lc rng buc ca hp ng v hiu lc ngn cm vic n phng chm dt hp ng. Tuy vy, ni dung thc t ca iu lut ch thun ty cp n thi im c hiu lc ca hp ng: Hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php

135 lut c quy nh khc. Vi ni dung ny, th tiu tng ng ca iu lut phi l Thi im c hiu lc ca hp ng. Nh th cng va st vi ni dung, va th hin tnh thng nht lin tc vi qui nh lin k trc (iu 404) v thi im giao kt hp ng. y l s thiu st v mt k thut lp php, v ni dung iu lut din t cha ng vi tinh thn m iu lut ng l phi th hin. V th, hiu qu iu chnh ca iu lut b gim i ng k. Tc gi cho rng, tiu ca iu lut nh trn l khng ph hp, v mc ch ca iu lut ny ch iu chnh v thi im c hiu lc ca hp ng. Nu mun gi li ni dung nh trn, th tiu ca iu lut cn phi c din t li cho ph hp. Th hai, iu 405 BLDS 2005 khng qui nh r gi tr php l ca hp ng. Nguyn tc c bn ca hiu lc rng buc hp ng l hp ng c giao kt hp php th c hiu lc lm pht sinh quyn v ngha v ca cc bn v c php lut bo v. Tuy nhin iu 405 li khng qui nh trc tip nguyn tc ny, m ch qui nh v thi im c hiu lc ca hp ng. S ngn gn qu mc ca iu lut lm cho n tr nn thiu nhng thng tin cn thit c th din t ng tinh thn m nh lm lut cn th hin. hiu c gi tr php l hp ng l g, cc ch th lin quan cn phi quay tr li phn nguyn tc chung ca BLDS 2005 gii m khon 3 iu 4: Cam kt, tho thun hp php c hiu lc bt buc thc hin i vi cc bn v phi c c nhn, php nhn, ch th khc tn trng. Nhng qui nh ti khon 3 iu 4 BKDS 2005 cng ch l nguyn tc chung, nn ni dung ca n cha tht r rng v c th c th vn dng trc tip vo vic xc nh gi tr php l ca hp ng. Cch qui nh nh vy cng gy kh khn cho vic nhn thc v p dng php lut. Bi l, iu 405 BLDS 2005 l qui nh trc tip v hiu lc hp ng, nhng qui nh ny li khng xc nh r hiu lc rng buc ca hp ng, v nhng ai l ngi phi tun th hiu lc rng buc . Cn khon 3 iu 4 li qui nh v hiu lc ca cc cam kt, tha thun ni chung. Phm vi rng buc hiu lc ca cc cam kt, tha thun c qui nh ti khon 3 iu 4 l qu rng, khng ch l hiu lc bt buc i vi cc bn tham gia hp ng, m cn c hiu lc bt buc thc hin i vi cc bn v phi c c nhn, php nhn, ch th khc tn trng. C th thy, cc thut ng cam kt, tha thun l nhng khi nim chung dng ch mi cam kt tha thun trong lnh vc dn s. Cn thut ng hp ng l khi

136 nim dng ch mt loi giao dch c th, c nhng iu kin v nhng yu cu php l c th. Hn na, khon 3 iu 4 qui nh v nguyn tc chung p dng cho mi cam kt, tha thun, v c t trong phn chung ca b lut. Trong khi iu 405 l qui nh ring bit, ch dng iu chnh ring v vn hiu lc hp ng, p dng ring cho ch nh php lut hp ng. Cch qui nh nh vy lm cho ni dung iu lut tr nn cha r rng minh bch, thiu tnh l gch, lm cho ngi c c cm gic nh b nh trong vic tra cu v p dng php lut. Tm li, cng l c s php l qui nh v cng mt vn php l - hiu lc ca s rng buc, nhng hai iu lut li th hin phm vi iu chnh v mc tc ng khc nhau, li c t v tr cch xa nhau nh vy gy nhiu kh khn cho vic nhn thc, tra cu, gii thch v p dng cc qui nh ca php lut. Th ba, iu 405 BLDS 2005 khng xc nh hiu lc tng i ca hp ng v cng khng qui nh ngha v khng c n phng sa i, chm dt hp ng. Hiu lc ca hp ng c php lut tn trng v bo m thc hin nh php lut. Nhng hiu lc hp ng khng rng buc quyn v ngha v i vi tt c mi ngi m ch rng buc ch yu i vi cc bn tham gia hp ng. Hn na, hiu lc hp ng cng khng cho php cc bn t sa i hoc n phng chm dt thc hin hp ng. V vy, hiu lc ngn cm vic t chi thc hin hp ng hoc n phng chm dt hp ng l mt ni dung c bn ca hiu lc rng buc hp ng. y chnh l cn c php l qui nh cc ni dung khc nh: hon thc hin ngha v, cn c php l v hu qu ca vic hy hp ng hoc n phng chm dt hp ng.v.v. Trong thc tin xt x, i khi ta n cn phi tm kim v vn dng c cc qui phm o c nh nim uy tn, lng tm gii thch v hiu lc rng buc ca hp ng. V d: Ti Bn n s 54/2006/KDTM ca TAND Tp. H Ch Minh, ta c nhn nh: xt vic b n tha nhn ngy 27/6/2005 b n mi giao tin cho nguyn n nhng cng khng giao l c vi phm ngha v thanh ton, nhng do tnh hnh cng ty ca b n kh khn, n nn chng cht, yu cu nguyn n lm n phi ly lng tm gii quyt, l khng chp nhn c, v hai bn giao kt hp ng, quyn v ngha v pht sinh, lng tm hoc uy tn chnh l vic thc hin ng hp ng k kt [54, tr.376]. Lp lun ny ni ln nhu cu xc nh c s php l xc nhn hiu lc rng buc hp ng l nhu cu c tht. iu ny chng t vic

137 qui nh v hiu lc hp ng lm cn c php l chnh thc cho vic gii quyt cc tranh chp c lin quan ti hiu lc hp ng, l rt cn thit. Nh vy, iu 405 BLDS 2005 cha th hin ng yu cu iu chnh php lut v hiu lc hp ng. Hn th na, nu vn mun iu 405 BLDS 2005 gi vai tr qui nh thi im c hiu lc ca hp ng, th tiu iu lut ny cn phi c sa i cho ph hp; ng thi cn b sung mt iu lut mi qui nh minh th v nguyn tc hiu lc rng bt buc ca hp ng v cc ngoi l ca n. 4.2.2. Mt s qui nh v cc bin php ch ti do khng thc hin hp ng l cha ph hp vi bn cht ca ngha v, v cha p ng c yu cu ca thc t Php lut qui nh buc bn vi phm hp ng phi chu trch nhim v vic khng tn trng, khng thc hin ng cc ngha v trong hp ng. S vi phm hiu lc ca hp ng dn ti hu qu ngi vi phm b buc phi gnh chu nhng bin php cng ch thch hp. Thc tin php lut cho thy cc qui nh ny c mt s bt cp sau y: 4.2.2.1. Qui nh ti khon 1 iu 303 v trch nhim do vi phm ngha v giao vt c nh, l cha y v cha bao qut ht cc trng hp thc t Khon 1 iu 303 BLDS 2005 qui nh: khi bn c ngha v khng thc hin ngha v giao vt c nh th ngi c quyn c quyn yu cu bn c ngha v phi giao ng vt ; nu vt khng cn hoc b h hng th phi thanh ton gi tr ca vt. Khi nim vt c nh c qui nh ti khon 2 iu 179 BLDS 2005: Vt c nh l vt phn bit c vi cc vt khc bng nhng c im ring v k hiu, hnh dng, mu sc, cht liu, c tnh, v tr. Theo , iu lut d liu hai gii php cng ch cho ba trng hp vi phm ngha v giao vt c nh: khng giao vt th phi giao ng vt ; vt khng cn, hoc vt b h hng th phi thanh ton gi ca vt. Theo tc gi, cc qui nh ny cha hp l v cha bao qut ht cc trng hp vi phm cng nh cc gii php cng ch thch ng i vi vic vi phm ngha v giao vt c nh. Cc thiu st l: (i) Th nht, i vi trng hp vi phm ngha v giao vt c nh, nh lm lut d liu ba trng hp l: khng thc hin ngha v, hoc khng th thc hin c do vt khng cn, hoc do vt b h hng. Vn cn lm r y l khi nim vt khng cn, bi v vt khng cn thng thng c hiu l vt b mt mt, hoc b tiu hy m khng cn tn ti trn thc t. Tuy nhin, trong nhiu trng

138 hp vt tuy cn trn thc t, nhng b chuyn giao cho ngi khc, th c xem l vt hin cn hay vt khng cn. y l vn hin cn nhiu cch hiu v rt cn c gii thch, lm r. Xc nh ng vn ny c ngha quyt nh ti vic chn bin php cng ch thc hin ngha v thch hp. Trong thc tin xt x, vic xc nh bin php cng ch trong nhng trng hp nh vy cng gp nhiu kh khn. V d: tranh chp v vic thc hin ngha v giao kios trong Bn n s 583/2007/DSPT ngy 06/11/2007 ca TAND tnh An Giang, V/v tranh chp Hp ng S dng kios (Xem Ph lc s 6): b n v nguyn n c hp ng thu mt bng kinh doanh. Theo , b n phi giao cho nguyn n mt kios mt v tr xc nh trn bn c cng b cng khai. Sau , b n t thay bn ny bng mt bn khc khng c cng b, lm thay i v tr ca kios m nguyn n chn. Da vo bn mi, b n giao cho nguyn n mt kios trn thc a mt v tr khc vi tha thun ban u (so vi bn cng b) v rt bt li cho nguyn n trong vic kinh doanh. Ta cp s thm cho rng, tuy b n c li giao khng ng kios, nhng kios giao cho ngi khc, nn khng chp nhn yu cu ca nguyn n i thc hin ng hp ng, m ch c th buc b n phi tr li tin chuyn nhng v bi thng thit hi. Tuy nhin, cp phc thm li cho rng cch gii quyt nh cp s thm l cha ph hp, v cho rng v n cn c x li theo hng Nhm bo m quyn li cho ng Phc khng b mt vic kinh doanh qun o may sn l ngnh ngh chnh ca gia nh ng Phc t trc n nay, cn phi xem xt vic tip tc thc hin hp ng giao kios s 45 l B v tr tip gip li i chnh vo ch trung tm cho ng Phc. Hoc nu khng th giao kios c th phi nh gi kios v tr ny theo gi sang nhng thc t trong cc h kinh doanh bi thng thit hi cho ng Phc. Nh vy, trong v n ny, quan im gia hai cp ta n c s khc bit trong vic chn la gii php cng ch thc hin hp ng. C th khng nh kios 45 l B trong hp ng ni trn l mt vt c nh v c c im, v tr xc nh trn bn c cng b. Nhng b n khng giao ng kios cho nguyn n, v kios c giao cho ngi th ba, bng mt hp ng khc. Vn vng mc trong v n ny l, cn phi xc nh r kios c giao cho ngi th ba l vt hin cn hay vt khng cn (?). Cc bn n ca hai cp ta khng xc nh kios ny l g, nn khng phn tch theo hng vt hin cn hay

139 vt khng cn. Nhng theo cch lp lun ca cp s thm, c th suy on l cp s thm xem kios trong trng hp ny l vt khng cn v cp s thm ch buc b n thanh ton gi tr ca kios (20 triu ng) v buc b n bi thng do vi phm hp ng, ch khng buc phi tip tc giao ng i tng ca hp ng. Ngc li, cp phc thm ch trng vo vic tun th nghim tc hp ng, nn buc b n phi giao ng kios 54 l B nhm m bo cho nguyn n khng b mt vic kinh doanh v y l ngnh ngh chnh ca nguyn n. Theo , c th suy on quan im ca cp phc thm xem y l trng hp vt hin cn, cn phi tip tc thc hin hp ng giao kios s 45 l B v tr tip gip li i chnh vo ch trung tm cho ng Phc. Nhng chnh cp phc thm cng khng hon ton chc chn, v cn ng thi a ra hng cng ch khc: Hoc nu khng th giao kios c th phi nh gi kios v tr ny theo gi sang nhng thc t trong cc h kinh doanh bi thng thit hi cho ng Phc. Theo , cp phc thm cho rng, nu khng th giao c ng kios xc nh th c th bi thng thit hi theo thi gi. Qua phn tch ni dung v n trn cho thy, cch nhn nhn ca c quan xt x v vn thc hin ngha v giao vt c nh khi vt khng cn trong trng hp vt c chuyn giao cho ngi khc bng mt giao dch hp php, hin vn cha nht qun. Nguyn nhn ch yu c l l do qui nh ti khon 1 iu 303 BLDS 2005 v vt c nh khng cn (do c chuyn giao cho ngi th ba) cha r rng, gy ra nhiu cch hiu khc nhau. Bi vy, ni dung ny rt cn c qui nh c th, nhm bo m c s nht qun trong nhn thc v p dng php lut. (ii) Th hai, i vi trng hp vt c nh b h hng hoc gim st mt phn gi tr (c ngha vt vn cn tn ti trn thc t), lut ch qui nh mt gii php cng ch: buc phi thanh ton gi tr. Qui nh nh vy l cha y v cn nhiu gii php khc la chn, ch khng nht thit trng hp no cng cn phi thanh ton gi tr. Bi l, tuy vt b h hng, gim st gi tr, nhng mc h hng, gim st gi tr khng ng k, v nu tnh trng ca vt vn bo m y tnh cht, tnh nng, cng dng nh bnh thng (tr trng hp vic h hng hoc gim st gi tr lm cho vic khai thc, s dng vt vo mt vic nht nh l khng th thc hin c). Bi vy, nu iu lut ch qui nh mt gii php cng ch nh trn th v tnh tc b c hi c la chn theo hng c li hn ca bn c quyn b vi phm. Trong trng hp bn nu c quyn vn t nguyn chp nhn buc bn vi phm vn

140 phi giao vt v bi thng, th ta n s khng c cn c php l c th xem xt. Thit ngh, trong qui nh ny, nh lm lut cn m rng hn danh sch cc gii php cng ch nhm m bo ti u quyn li ca bn c quyn b vi phm. 4.2.2.2. Gii php cng ch thc hin ngha v giao vt cng loi qui nh ti khon 2 iu 303 BLDS 2005 l cha linh hot Khon 2 iu 303 qui nh Khi bn c ngha v khng thc hin c ngha v giao vt cng loi th phi thanh ton gi tr ca vt. Theo khon 1 iu 179 th Vt cng loi c cng cht lng c th thay th cho nhau. C l theo quan im ca nh lm lut, cc vt cng loi l vt c th d dng tm thy trn th trng, hoc d dng thay th, nn khng cn thit buc bn c ngha v phi thc hin ngha v giao ng vt . Trn thc t, c nhng vt tuy l cng loi, nhng li kh c th tm thy vt khc trn th trng t do Vit Nam thay th. iu ny cng tng xy ra gia bn bn l mt cng ty c quyn cung cp xng my bay vi bn mua. V vic: tranh chp v vic thc hin hp ng cung ng xng du gia Cng ty Xng du Hng khng (Vinapco) v Pacipfic Airlines (PA): ngy 31/12/2007 Vinapco k hp ng cung ng xng loi JET A-1 cho PA, vi mc ph np xng l 593 nghn ng/tn, ngoi vic thanh ton theo gi mua xng thc t, chi ph vn chuyn, bo him, thu nhp khu. Sau nhiu ln n phng gi vn bn yu cu PA tng gi thanh ton tin mua xng ln 750 nghn ng/tn, nhng khng c PA ng , ngy 01/4/2008, Vinapco n phng ngng tip nhin liu cho cc my bay tuyn ni a ca PA trong 3 gi lin, lm cho hot ng sn xut kinh doanh ca PA b nh tr, nh hng nghim trng ti quyn li ngi tiu dng. L do Vinapco tng gi xng v cho rng, vo lc k hp ng, gi nhin liu th gii l 76,2 USD/thng. Tuy nhin, hin gi ny ln 110-130 USD/thng, Vinapco l hn 10 USD/tn mun ngng vic cung cp xng do yu cu c tng gi xng khng c bn mua chp nhn [176] [295]. Nhng ngy 01/4/2008, Cc Hng khng c cng vn s 985/CHK-TC yu cu Vinapco khng c n phng ngng thc hin hp ng cung cp xng du cho cc hng hng khng nu khng c php ca c quan Nh nc c thm quyn [52]. Nh vy, trong v ny, tuy xng my bay l vt cng loi, nhng c quan c thm quyn vn buc bn vi phm vn phi tip tc cung cp xng cho bn mua. y l trng hp ngoi l v vic cung ng xng my bay Vit Nam l hot ng c quyn ca Vinapco v vic ngng cung cp xng cho PA l xm

141 phm ti trt t cng cng do lm dng v tr c quyn (iu 14 Lut Canh tranh 2004) m hu qu thc t ca v vic ny l gy thit hi cho ngi tiu dng v lm ch tch giao thng cng cng. Trong n l ca Anh cng tng c nhng phn quyt tng t, nh trong v Sky Petroleum Ltd v VIP Petroleum Ltd [1974] All ER 954: nguyn n ng mua du v nhin liu xe my t pha b n, trong sut khong thi gian xc nh. B n c nh t chi thc hin hp ng. V vy, nguyn n kin b n v yu cu ta n ra quyt nh ngn nga vic b n khng cung cp hng. C bng chng thng mi cho rng, nguyn n hu nh l khng c c hi tm ngun cung cp thay th. Th trng xng du ri vo tnh trng bt thng ti thi im . V vy, ta phn quyt l bn bn phi tip tc giao hng, mc d hng ha ny khng phi l hng ha c nh. Bi v theo ta, c bng chng cho rng, s tin bi thng thit hi khng phi l bin php bi thng y . Cc phn tch thc tin trn cho thy, khng ch i vi vt c nh mi cn bn c ngha v phi giao ng vt , m c i vi vt cng loi, trong nhiu trng hp, c quan ti phn vn buc bn giao vt phi thc hin ng hp ng. T c cn c khng nh, gii php c thit k ti khon 2 iu 303 BLDS 2005 cng cha d liu ht cc trng hp khc c th xy ra trong thc t. Bi vy, ni dung ny cn phi c sa i, b sung cho ph hp vi yu cu ca thc tin. 4.2.2.3. iu 304 vn cha d liu nhng ngoi l i vi ngha v phi thc hin cng vic hoc ngha v khng c thc hin cng vic iu 304 qui nh khi bn c ngha v vi phm ngha v thc hin cng vic phi thc hin, th bn c quyn c th yu cu bn c ngha v tip tc thc hin hoc t mnh thc hin hoc giao cho ngi khc thc hin cng vic v yu cu bn c ngha v thanh ton chi ph hp l v bi thng thit hi; nu bn c ngha v khng c thc hin mt cng vic m li thc hin cng vic th bn c quyn c quyn yu cu bn c ngha v phi chm dt vic thc hin, khi phc tnh trng ban u v bi thng thit hi. Tuy vy, trong trng hp ny, c th c s xung t gia ngha v phi lm mt cng vic hoc khng lm mt vic (theo hp ng) v quyn t do lao ng ca con ngi (c php lut bo v). C nhng vic thuc v hot ng mang tnh t do c nhn nh sng tc m nhc, hi ha, vn chng, biu din ngh thut, th ngoi vic tun th ngha v c xc lp theo

142 hp ng, bn c ngha v cn c quyn t do c nhn. Theo HP 1992 th cng dn c quyn t do kinh doanh theo qui nh ca php lut (iu 57), quyn t do sng to (iu 60) v cc quyn t do khc t do ngn lun, t do i li, t do la chn ch (iu 68 iu 71). Ti iu 6 Lut Cnh tranh 2004 cng cm cc hnh vi: tha thun hn ch cnh tranh (iu 8- iu 10) hoc lm dng v tr thng lnh hay v tr c quyn trong kinh doanh thng mi (iu 11- iu 15). Bi vy, trong nhiu trng hp, ta n khng th cng ch bn c ngha v lm cng vic phi thc hin hoc cm bn c ngha v khng c lm mt vic, v nh vy l xm phm ti quyn t do c nhn c hin php v php lut bo v. V vn ny, tc gi cng ng vi kin ca mt lut gia khi cho rng, khng nn cng ch thi hnh nhng ngha v hp ng trc tip gn vi nhn thn ngi mc n, v nh th l buc c nhn mt ngi phi lm n l tri vi ch ca h v gii php cng ch cha chc em li kt qu nh mong mun, thm ch c th phn tc dng v khng mang tnh kh thi v khng c d lun ng tnh [108, tr.278 80 v 282]. Bi vy, qui nh ti khon 1 iu 303 BLDS 2005 cn phi c sa i, b sung cho ph hp vi yu cu ca thc tin v cn tnh n cc trng hp ngoi l nh va phn tch trn y. 4.3. KIN NGH HON THIN PHP LUT V HIU LC RNG BUC CA HP NG 4.3.1. Sa i, b sung cc qui nh trong B lut Dn s 2005 v hiu lc rng buc ca hp ng Nh phn tch trong phn 4.1 v phn 4.2 trn y, nguyn tc hiu lc rng buc ca hp ng l nguyn tc php l rt quan trng th hin bn cht ca hp ng, nhng qui nh ca php lut hin hnh v vn ny hin vn cn nhiu bt cp. S bt cp th hin ch ni dung iu 405 BLDS 2005 cha th hin ng tinh thn ca nguyn tc hiu lc rng buc ca hp ng nh tiu ca iu lut ny; ng thi nguyn tc hiu lc rng buc ca hp ng cha c iu lut no trong BLDS 2005 trc tip iu chnh. Khc phc nhng bt cp ny, thit ngh cn sa i, b sung cc qui nh sau y: 4.3.1.1. Sa i tiu v ni dung iu 405 BLDS 2005 Nh phn tch trn y, gia ni dung v tiu ca iu 405 BLDS 2005 l cha ph. m bo tnh thng nht ni ti gia ni dung vi tiu ca iu

143 lut v vi cc qui nh khc c lin quan, ng thi ph hp vi ni dung ch nh m nh lm lut mun th hin trong iu lut, thit ngh cn sa tiu iu 405 BLDS 2005, c th l: iu 405. Thi im c hiu lc ca hp ng. Mt khc, ni dung ca iu lut cng cn phi c sa i cho ph hp, theo hng nh c trnh by trong kin ngh ti mc 3.3.2. ca Lun n. 4.3.1.2. B sung iu lut qui nh trc tip v hiu lc bt buc ca hp ng Do iu 405 BLDS 2005 (sa i) c sa i theo hng ch qui nh thi im c hiu lc ca hp ng, nn hiu lc rng buc ca hp ng hin khng c qui phm php lut no iu chnh trc tip. Bn cnh , iu 4 BLDS 2005 tuy c qui nh nguyn tc t do, t nguyn cam kt, tha thun (on 3) nhm xc nh cam kt, tho thun hp php c hiu lc bt buc thc hin i vi cc bn v phi c c nhn, php nhn, ch th khc tn trng. Nhng qui nh ny c ni dung v phm vi p dng rt rng, khng th p dng cho vic xc nh hiu lc hp ng. Vi tnh cht l nguyn tc c bn ca php lut t v c qui nh trong phn chung ca BLDS, nn mc tc ng ca qui nh ti iu 4 BLDS 2005 i vi vn hiu lc hp ng l khng ln v khng hiu qu. Bi l, iu 4 BLDS 2005 l nguyn tc chung nht p dng cho mi cam kt dn s, cn hiu lc rng buc ca hp ng l mt qui nh ring iu chnh mt vn php l c th. V, nguyn tc chung khng phi lc no cng c th hon ton thay th c cho cc qui nh c th. T nguyn tc chung n cc iu lut c th l mt khong cch; v t nguyn tc chung n thc tin p dng php lut cn l khong cch xa hn. Nht l trong bi cnh Vit Nam, khi thi quen dn chiu cn c coi trng [201, 21] v khi thm phn khng phi l ch th c quyn sng to, thm ch khng c thm quyn gii thch php lut (v theo Hin php Vit Nam, quyn ny ch thuc y ban Thng v Quc hi [82, khon 3 iu 91]), th qui nh ni trn s kh m c ngi ta nhc n trong cc vn bn p dng php lut, vi t cch l mt cn c php l trc tip qui nh v hiu lc rng buc ca hp ng. Theo qui nh ca Lut Ban hnh vn bn qui phm php lut 2008, th Vn bn quy phm php lut phi quy nh trc tip ni dung cn iu chnh, khng quy nh chung chung (khon 2 iu 5). Nh vy, theo cch tip cn va trnh by, hiu lc rng buc ca hp ng hin vn l vn b php lut b ng trong lut hin hnh. Thc trng i hi

144 cn phi b sung iu lut qui nh trc tip v vn ny. S b sung qui nh ny l cn thit v nhng l do sau y: Mt l, hiu lc rng buc l h qu tt yu, l ni dung php l ct li th hin bn cht ca hp ng, cn phi c php lut qui nh minh th. Bi l, c rt nhiu l do ngi ta bnh vc cho hiu lc rng buc ca cc hp ng, nhng cng c qu nhiu l do ngi ta t chi s rng buc ny. iu i hi ni dung ny cn phi c ghi nhn minh th trong lut. Trn th gii, vn ti sao cn phi xc nh hiu lc rng buc ca hp ng c gi tr i vi cc bn ging nh php lut trong khi y ch l nhng cam kt ca t nhn, l mt ti hc thut v cng l th trong lnh vc lut hc. Cc hc gi a ra rt nhiu hc thuyt kinh t - php l khc nhau l gii v vn ny [309, tr.16- 20]. Cc kin xut pht t quan nim o c v tn gio cho rng hiu lc rng buc ca hp ng l vn o c mang tnh thing ling v thn thnh, v rng ngi c ngha v m khng tn trng li ni v nguyn tc thin ch th b coi l phm mt ti c th gy tn hi n s gii thot linh hn ca mnh [4, tr.4-5]. Theo Atiyah, vic thc thi cam kt va l mt yu cu mang tnh o c, th hin s tn trng quyn t do ch ca con ngi trong vic a ra cc cam kt t nguyn; va l mt i hi ca nguyn tc cng bng [297, tr.184-202]. Cooke v Oughton th cho rng c hai l do cc bn mong mun to ra hiu lc rng buc t cc cam kt: o c v kinh t. V mt o c, mt cam kt cn phi c thc thi, v khi xc lp cc cam kt ngi ta thng mong i c nhn t mt li ch g , v nu bt k ai cam kt u thc hin ng cam kt ca mnh th cng khuyn khch s thnh tn trong x hi nhiu hn, qua thc y x hi pht trin. V mt kinh t, s chuyn dch li ch cng nh cc ri ro trong hp ng cho ngi c iu kin qun l tt, t lm gia tng gi tr x hi ca cc li ch v gim thiu cc ri ro cho nn kinh t. Hn na, nu cc bn u tn trng v thc hin ng cc cam kt th s nhn c t bn kia cam kt v s thc thi ngc li nhm tha mn cc li ch ca mnh. Bi vy, vic php lut tha nhn hiu lc ca hp ng l iu cn thit [309, tr. 16 9; 335, tr. 91-2]. Theo GS. V Vn Mu, c s l lun v thc tin ca nguyn tc hiu lc bt bin ca hp ng l: (i) Nguyn tc t do ch, uy lc ca ch c nhn c s bo tr ca lut php c th c rng buc h ngang hng vi lut php; (ii) V phng din

145 lun l, khi ngi ta ha vi ai iu g th cn phi thc hin nhm gi ch tn; (iii) s n nh x hi v s thnh tn trong kinh doanh, v s thnh tn l cn bn ca s thnh vng [168, tr.244-5]. Cn theo GS. Denis Mazeaud, vic tha nhn nguyn tc hiu lc bt bin ca hp ng l nhm mc ch bo m an ton php l trong qu trnh thc hin hp ng [164, tr.21]. Tm li, tuy cn c nhiu quan im tranh lun khc nhau v vn c s l lun no tha nhn hiu lc ca hp ng, nhng cc lut gia u c chung quan im nht qun l vn hiu lc rng buc ca hp ng l vn php l mang tnh cht nn tng ca php lut hp ng, cn phi c php lut tha nhn v bo v. Hai l, vic tha nhn hiu lc ca hp ng trong php lut thc nh khng phi mi ln u tin c t ra m c nhiu tin l rt ng lu . Xt v mt lch s v nhn t gc so snh, vn hiu lc hp ng tng c cp trong lut thc nh ca Vit Nam v ca nhiu quc gia trn th gii. X hi phong kin Vit Nam tng chu nh hng su sc ca nn Nho hc v Khng gio, nn quan nim php l v hiu lc hp ng trong php lut ca cc triu i phong kin Vit Nam cng b cun theo dng chy ca cc tro lu t tng Nho gio. Php lut v hp ng ca Vit Nam thi by gi khng qui nh cc nguyn tc chung v cng nhn hiu lc rng buc ca hp ng, m dng nh vn ny c nhng li cho cc qui phm o c phong kin Nho gio iu chnh, vi quan nim ch tn trong li ha lun c cao. Ngi xa xem li ha v vic gi ch tn l o c mu mc ca ngi qun t, nn mi c nhng cu ni dng ch s rng buc ca ch tn ca li ha: nht ngn thuyt qu, t m nan truy (mt li ni, bn nga kh theo) hay xut ngn nh ph thch GS V Vn Mu tng c nhn xt: i vi hiu lc cc kh c, nh lm lut khng cn phi can thip trong cc trng hp thng thng v cc ng s thng tn trng s thnh tn, theo quan nim ca ngi qun t, v trong thc h ca ngi qun t ngy xa bit tn trng li ha, v khng lm iu g m mnh khng mun ngi khc thi hnh i vi mnh (Khng T: K s bt dc, vt thi nhn) [166, tr.148]. Nhng quan nim ch da trn o c ca ngi qun t bo m hiu lc hp ng cng khng hon ton xc ng, v trn thc t, x hi phong kin cng chia con ngi lm nhiu hng, trong c ngi qun t v k tiu nhn, m k tiu nhn li khng phi lc no cng tn trng li ha. Bi vy, bo v trt t php lut, nh lm lut thi phong kin cng ch trng n nhng trng hp phi can thip

146 vo to c ch php l bo m hiu lc hp ng. Bng chng l trong B lut Hng c, c cc qui nh rng buc hiu lc hp ng, nh: cm khng c em bn on nhng rung t cm cho ngi khc (iu 383); cm nhng ngi bn rung m ln sang rung t bn. Ngi ln phi tr gp i tin ch rung t chim (iu 383 on cui); cm c rung m b p phi chuc d khng mun chuc hoc mun chuc m ngi cm khng cho chuc th pht 80 trng (iu 384); vay n th phi tr, qu hn khng tr th phi ti trng ty theo vic nng nh. Nu vn c tnh khng tr th ging hai bc, bi thng gp i (iu 588); nu ch n nhn tin tr n ri m cn c tnh khng tr vn t v khng chu cp giy chng nhn cho ngi tr n hoc cp giy chng nhn tr n ri m vn c tnh em giy n tip tc i n na th pht 50 roi, ging mt bc v bi thng gp i tin n cho ngi tr n (iu 589) Trong B lut Gia Long cng c qui nh tng t, ch khc bit trong chi tit v hnh pht [166, tr.171]. Nh vy, mc d h t tng phong kin khng ch nh to ra c ch iu chnh hiu lc hp ng, song nh lm lut cng c a ra nhng qui nh c th trong vn bn php lut qui nh v hiu lc thc thi ca mt s loi hp ng. V sau, vn hiu lc rng buc ca hp ng c qui nh trong nhiu vn bn php lut Vit Nam, nh DLB 1931 [iu 673], DLT 1936-1939 [iu 713], DLSG 1972 [iu 678], BLDS 1995 [iu 404]. c bit, iu 404 BLDS 1995 qui nh rt y v vn hiu lc hp ng c th hin hai kha cnh: (1) Hiu lc rng buc ca hp ng: hp ng hp php th c hiu lc bt buc i vi cc bn; (2) Khng c rt li hp ng: Hp ng ch c th b sa i hoc hu b, nu c tho thun hoc php lut c quy nh. Php lut ca nhiu nc trn th gii cng c cc qui nh trc tip v nguyn tc hiu lc rng buc ca hp ng. in hnh l BLDS ca cc nc c nn php lut c nhiu im chung vi php lut Vit Nam, nh BLDS Php (iu 1134), BLDS Nga (iu 425). Lut Hp ng 1999 ca Trung Quc cng c qui nh v hiu lc hp ng: Hp ng c lp hp php, c hiu lc rng buc nh php lut i vi ng s, ng s phi thc hin ngha v ca mnh ng cam kt, v khng c n phng thay i hoc hy b hp ng. Hp ng c lp hp php th c php lut bo v (iu 8). Khng ch c tha nhn v qui nh trong lut php ca nhiu quc gia, nguyn tc hiu lc rng buc hp ng cn c chnh thc

147 ghi nhn trong cc b qui tc chung v hp ng thng mi quc t. Theo PICC, Hp ng c hnh thnh hp php rng buc cc bn giao kt. Cc bn ch c th sa i hoc chm dt hp ng trn c s cc iu khon ca hp ng, tho thun gia cc bn hoc bi nhng l do c quy nh trong B Nguyn tc ny [iu 1.3]. Theo cc nh bnh lun v cc qui nh ca PICC, th y l mt nguyn tc c bn ca lut hp ng nguyn tc pacta sunt servanda. Cng theo kin bnh lun ny, th tnh cht rng buc ca hp ng hin nhin ch tn ti khi hp ng c giao kt mt cch hp php [25, tr. 45]. Nh vy, vn cng nhn chnh thc hiu lc rng buc ca hp ng bng cc qui phm trong lut thc nh khng cn l vic mi m, nhng y li lun c xem l vn rt cn thit. Vn cn li cn phi bn l cng nhn nhng ni dung no v cng nhn nh th no. Nh khng nh, nguyn tc hiu lc rng buc ca hp ng l vn quan trng nht, th hin bn cht ca hiu lc hp ng, l h qu tt yu ca hp ng, nn cn phi c qui nh trc tip trong BLDS. T nhn thc , tc gi kin ngh Quc hi b sung mt iu lut mi qui nh c th v nguyn tc hiu lc rng buc ca hp ng, theo nhng yu cu sau y: (1) V tr v tiu ca iu lut qui nh v hiu lc ca hp ng Hin nay, nguyn tc hiu lc rng buc ca cc cam kt dn s ni chung mi c qui nh trong phn nguyn tc chung ca BLDS, nhng hiu lc ca hp ng th cha c BLDS qui nh c th. Nh phn tch, cch qui nh ny l cha ph hp v hiu lc rng buc ca hp ng v ai b rng buc bi hp ng l nhng vn ct li ca hiu lc hp ng, cn phi c tha nhn chnh thc trong lut v nn c qui nh trc tip trong phn chung ca php lut hp ng, ch khng nn ch qui nh phn nguyn tc c bn ca BLDS. Thit ngh, bn cnh vic phi xy dng hon thin mt thng cc nguyn tc y v ng b iu chnh vn hiu lc hp ng, nh lm lut cng nn c th ha cc nguyn tc ny bng cc iu khon qui nh trc tip, ch khng nn ch dng li cc qui nh c tnh nguyn tc chung, nh thc trng va nu. Hn na, hiu lc rng buc ca hp ng khng phi l nguyn tc bt thnh vn m cn phi c qui nh minh th bng mt iu lut trong phn cc qui nh

148 chung v hp ng, nhm lm cn c xc nh gi tr rng buc ca hp ng, nht l khi cc bn chi b vic thc hin hp ng hoc khi cc bn c tranh chp. V tr ca iu lut ny cn c t trong mi quan h tng th vi cc iu lut khc c lin quan ti vn hiu lc hp ng. Xem xt c cu hin ti ca BLDS 2005, th v tr ca iu lut nn t sau iu 405 BLDS 2005 hin nay l hp l, v cc iu lut trc qui nh v giao kt hp ng (iu 390 400), cc iu kin c hiu lc ca hp ng (iu 401 403), thi im giao kt v thi im c hiu lc ca hp ng (iu 404 405), v pha sau iu lut ny cn c cc qui nh lin quan ti vic gii thch hp ng (iu 409), hp ng v hiu (iu 410 411). iu lut qui nh v hiu lc ca hp ng nn t lin tc, ngay sau qui nh v thi im c hiu lc ca hp ng, v thit k thnh iu 405a BLDS 2005. Tiu ca iu lut ny nn l iu 405a. Hiu lc ca hp ng (dn s). Vi s kt hp gia qui nh ny vi cc qui nh khc hin c, s to nn mt tp hp cc qui phm php lut c h thng v mang tnh chnh th lm thnh c ch iu chnh hiu lc hp ng hon chnh. (2) Ni dung v b cc ca iu lut: Cn xc nh r nguyn tc chung ca hiu lc rng buc hp ng v nhng ngoi l cn thit ca nguyn tc ny Cc phn tch v khi nim hiu lc rng buc ca hp ng v c ch iu chnh hiu lc hp ng cho thy, nguyn tc hiu lc hp ng th hin hai kha cnh l hiu lc bt bin ca hp ng v s hn ch vic t chi hoc rt li hp ng. C th v hiu lc rng buc, v hiu lc ngn cm vic t chi thc hin hp ng hoc n phng chm dt hp ng, l hai mt ca hiu lc hp ng. T i hi ni dung ca iu lut mi khi iu chnh vn ny cn phi chuyn ti c t tng trn. Nh vy, hiu lc hp ng bao gm gi tr php l lm pht sinh quyn, ngha v ca cc bn v bt buc cc bn phi thc hin ng m khng c quyn rt lui khi s rng buc ca hp ng. y va l nguyn tc chung th hin hiu lc rng buc ca hp ng ging nh php lut i vi cc bn m cc bn khng c php chi b hoc vi phm, nhng li cng va th hin ngoi l ca nguyn tc ny l cc bn c th lm iu khi c nhng cn c do php lut qui nh. Vi ni dung va trnh by, b cc ca iu 405a (mi) nn c thit k thnh hai khon khc nhau, mi khon qui nh v mt ni dung tng ng. C th:

149 Khon 1 qui nh v hiu lc rng buc ca hp ng; Khon 2 qui nh v nguyn tc hn ch quyn t chi hoc rt lui khi hp ng cng nh ngoi l ca qui nh ny. + Khon 1: Nguyn tc hiu lc bt bin v hiu lc tng i ca hp ng. Xut pht t yu cu bo m tnh minh bch v c th ca php lut, ni dung ca iu lut cn phi xc nh r phm vi nhng ai b rng buc bi hp ng, t lm c s php l cho vic xc nh nhng ai l ngi c quyn hoc c ngha v pht sinh t hp ng. y l ni dung th hin c th nguyn tc hiu lc bt bin ca hp ng. Nh mt lut gia tng nhn xt: Hp ng l php lut do cc bn lp ra rng buc chnh cc bn trong hp ng. V s rng buc ca hp ng khng ch l hiu lc php l c d liu bi cc bn, m cn l hiu lc c m bo bi php lut, bi tp qun hoc bi yu cu ca nguyn tc thin ch, nhm xc lp trch nhim thc thi hp ng ph hp vi bn cht ca hp ng [339, tr.278]. Nh vy, ni dung khon 1 ny phi khng nh c gi tr rng buc nh php lut ca hp ng, nu hp ng c lp hp php. Mt khc, ni dung iu lut cng xc nh r hiu lc ca hp ng ch mang tnh tng i. Nh khng nh trong cc phn trn, hiu lc ca hp ng khc vi hiu lc ca php lut. Bi vy, php lut cn phi c cc qui nh c th nhm phn bit rch ri hiu lc rng buc ca hp ng so vi s rng ca php lut, v hp ng ch rng buc cc bn, cn php lut l qui tc x s mang tnh rng buc chung i vi tt c mi ngi. + Khon 2: Hn ch quyn t chi v quyn rt lui khi hp ng. Yu cu ca nguyn tc hiu lc rng buc hp ng i hi hp ng phi c tun th v phi c thc hin ng. Tuy vy, nguyn tc t do hp ng cho php cc bn c t do giao kt hp ng, nhng cng tha nhn cc bn c quyn t do khng giao kt hp ng [168, tr.88], thm ch c quyn tha thun v nhng cn c c th n phng rt lui khi hp ng. Nguyn tc thin ch, trung thc v hp tc cng l c s php l quan trng cho php cc bn c t chi thc hin hoc rt lui khi hp ng trong nhng hon cnh thch hp, ph hp vi l cng bng. Hn na, vic thc hin cc hp ng di hn khng phi l bt bin m l mt qu trnh lun gn vi nhiu yu t ri ro, s thay i ca hon cnh lm mt cn bng li ch ca cc bn, lm thay i c bn ti nn tng ca quan h hp ng. T , i hi phi d liu v cc ngoi l, nh qui nh nhng cn c cho php cc bn c yu

150 cu iu chnh li hp ng, qui nh cn c cho ta n c can thip vo ni dung hp ng, nu trong qu trnh thc hin hp ng c s thay i hon cnh lm mt cn bng li ch ca cc bn [207, tr. 6; 227, tr.89-91]. y l xu hng chung ca cc h thng php lut hp ng hin i trn th gii [201, tr.21; 208, tr. 21]. Tm li, iu khon qui nh v hiu lc rng buc ca hp ng c th c nh ch thnh hai khon khc nhau tng ng vi hai ni dung c bn ca hiu lc hp ng. V im ny, cn tip thu kinh nghim t cc qui nh ti khon 1 iu 404 BLDS 1995, on 1 iu 687 DLSG 1972, iu 1134 BLDS Php, v iu 8 Lut Hp ng 1999 ca Trung Quc. Ni dung c th ca iu 405a (mi) nh sau: iu 405a. Hiu lc ca hp ng (dn s) [Mi] 1. Hp ng c giao kt hp php c hiu lc nh php lut i vi cc bn tham gia hp ng. 2. Hp ng ch c th b sa i hoc hy b, nu c tha thun hoc php lut c qui nh. Ni dung khon 1 iu ny c sa i, b sung bng cch thay cm t hiu lc bt buc bng cm t hiu lc nh php lut v thm cm t tham gia hp ng, nhm din t r hn bn cht ca hiu lc rng buc ca hp ng, v lm cho h qu tc ng ca iu lut tr nn mnh hn so vi cch din t ti khon 1 iu 404 BLDS 1995. Ngoi ra, khon 2 iu lut tuy vn gi nguyn ni dung ca khon iu 404 BLDS 1995, nhng ni hm ca iu khon ny c s thay i c bn, l d liu cc trng hp ngoi l mi ca nguyn tc hiu lc bt bin ca hp ng: cho php cc bn c th xin sa i hp ng khi hon cnh thay i, nu c nhng cn c do php lut qui nh. 4.3.2. Sa i, b sung qui nh ti khon 1 iu 303 B lut Dn s 2005 v trch nhim i vi c ngha v giao vt c nh b h hng Theo qui nh ti khon 1 iu 303 BLDS 2005, i vi trng hp vt c nh b h hng, nh lm lut ch d liu mt gii php khc phc duy nht l thanh ton gi tr ca vt. Qui nh ny cha d liu ht nhng trng hp khc c th xy ra trn thc t. Bi l, i vi trng hp vt c nh b mt mt, tiu hy th qui nh nh vy l v cn thit. Nhng i vi trng hp vt c nh b h hng, th qui nh nh trn l cha y v c nhng trng hp b h hng nh, khng lm gim st ng k gi tr ca vt, hoc tuy vt c h hng nht nh nhng bn c quyn vn mun nhn vt.

151 bo m quyn li ca bn c quyn b vi phm, php lut nn qui nh cho php bn c quyn c yu cu bn c ngha v vn phi tip nhn thc hin ngha v giao vt. Bi vy, khon 1 iu 303 rt cn c sa i, b sung theo hng m rng thm cc gii php khc phc ph hp i vi trng hp vt c nh b h hng m bn c quyn vn c th mun nhn vt . Cc gii php khc phc c th l cho php bn c quyn c la chn mt trong cc cch thc sau: buc bn c ngha v phi thanh ton gi tr ca vt; hoc phi giao vt km theo ngha v sa cha, khc phc; hoc giao vt v gim gi; hoc giao vt v b p cho bn kia bng vic thc hin mt ngha v khc tng ng vi phn gi tr b gim st ca vt, tr trng hp cc bn c tha thun khc. C th, khon 1 iu 303 c sa i, b sung nh sau: 1. Khi bn c ngha v khng thc hin ngha v giao vt c nh th ngi c quyn c quyn yu cu bn c ngha v phi giao ng vt ; nu vt khng cn th phi thanh ton gi tr ca vt; nu vt b h hng th bn c quyn c th t chi nhn vt v yu cu thanh ton gi tr ca vt, hoc nhn vt ng thi yu cu bn c ngha v sa cha hoc thanh ton tin sa cha hoc thanh ton thm phn gi tr ca vt b gim st, hoc nhn vt v yu cu gim gi tng ng vi phn gi tr ca vt b gim st, tr trng hp cc bn c tha thun khc. Trn thc t, vic giao vt c nh c th l ngha v ca bn bn, bn gia cng, bn vn chuyn, bn cho thu nn vic qui nh ch buc bn c ngha v thanh ton gi tr ca vt trong trng hp vt b h hng l cha y v khng thch hp. Do , qui nh b sung nhiu kh nng la chn nh trn nhm bo m quyn li ca bn c quyn bng cch qui nh quyn t do la chn cc gii php khc phc thch hp khi vt c nh b h hng, m bn c quyn vn mun nhn vt . Nh vy, bn c quyn nhn vt c th la chn khng nhn vt c thanh ton gi tr, hoc nhn vt nhng km theo cc gii php thch hp. Cc qui nh ny khng ch ph hp vi ngha v giao vt c nh trong hp ng mua bn ti sn m cn thch dng vi ngha v giao vt trong cc loi hp ng khc. 4.3.3. Sa i, b sung qui nh ti khon 2 iu 303 B lut Dn s 2005 v trch nhim do khng thc hin ngha v giao vt cng loi Theo qui nh ny, khi bn c ngha v khng giao vt cng loi th ch phi thanh ton gi tr ca vt. Qui nh ny cha d liu c trng hp tuy i tng hp ng vt cng loi, nhng l vt cng loi khan him trn th trng m bn b vi phm khng th tm c ngun hng ha khc thay th. iu ny l khng cng bng i vi bn c quyn b vi phm, tri nguyn tc trung thc, thin ch, thm ch

152 iu ny cn c th gy ra nh hng tiu cc ti hot ng sn xut kinh doanh ca bn b vi phm, gy thit hi cho quyn li chnh ng ca ngi lao ng, v nhiu trng hp c th dn n gy thit hi cho li ch ca nhiu ngi khc trong x hi. Do , mt mt vn tha nhn nguyn tc cho php bn c ngha v c thay th ngha v bng bin php thanh ton gi tr ca vt, ng thi cn qui nh buc bn c ngha v vn phi thc hin ngha v giao vt cng loi trong mt s trng hp ngoi l. Nh vy, khon 2 iu 303 BLDS 2005 nn c sa i, b sung nh sau: 2. Khi bn c ngha v khng thc hin c ngha v giao vt cng loi th phi thanh ton gi tr ca vt. Trong trng hp vt cng loi l cc hng ha c bit khng d dng tm thy trn th trng v bn c quyn b vi phm khng c kh nng tm c ngun hng ha khc thay th, th ta n c th buc bn vi phm ngha v phi giao ng vt , tr trng hp cc bn c tha thun khc. Qui nh ny vn ghi nhn nguyn tc thanh ton gi tr ca vt khi khng thc hin ngha v giao vt cng loi, bi theo l thng thng th vt cng loi c th d dng tm thy trn th trng. Tuy vy, cng c nhng vt cng loi l khng th tm c ngun hng thay th, nu bn c ngha v phi giao l nh sn xut, cung ng hoc nhp khu v phn phi c quyn. V d in hnh l v Vinapco l bn cung cp xng my bay c quyn ti Vit Nam nhng khng chu cung cp xng cho PA v PA t chi yu cu tng gi xng ca Vinapco. Thc t cng c nhng hng ha l vt cng loi, lc bnh thng th c th d dng tm c ngun hng thay th, nhng trong nhng hon cnh c bit th khng th tm c ngun hng thay th. V d: trong mt s thi im nht nh th s c mt s mt hng b khan him, nh thi gian gn y (thng 7 - 8/2009) cc nh thuc v ngnh y t ang b khan him khu trang y t, khan him sinh phm y t xc nh ngi b nhim cm do nguy c dch cm bng pht, khin B y t phi vo cuc chn chnh [127]. Thnh thong ngi ta cng nghe ni ti nhng trng hp khan him tm thi cc vt phm tha mn cc nhu cu thit yu, nh vic khan him rau xanh H Ni sau trn l lch s trong hn mt tun hi thng 11/2008 [255], hoc tnh trng thiu nc sch Trung Quc do hn hn trong thi gian qua [267] Trong nhng trng hp ny, nu bn cung ng hng ha t chi giao hng thanh ton gi tr ca vt th s gy ra nhng hu qu ngoi s kim sot ca cc bn v c nh hng tiu cc ti nhiu i tng khc trong x hi. Bi vy, cn cho php ta n can thip nhm buc bn vi phm phi thc hin ng ngha v giao vt. Ch khi no bn vi phm cng khng c kh nng tm ngun hng giao th mi p dng bin php thanh ton gi tr vt v bi thng thit hi theo qui nh chung.

153 Do dung lng khng cho php, nn cn mt s vn bt cp khc nh, ni hm khi nim vt khng cn l cha r rng, hoc vic trch nhim dn s do khng thc hin ngha v phi thc hin lin quan ti quyn t do c nhn, hoc do vi phm ngha v khng c thc hin mt cng vic khng c trnh by trong phn ny m s c trnh by trong mt nghin cu khc khi iu kin cho php. KT LUN CHNG 4 1. Hiu lc hp ng khng phi l mt khi nim n nht m l khi nim phc hp c lin quan n nhiu qui nh khc nhau ca php lut hp ng, v c t trong mi lin h bin chng vi nhng tc ng ca nhiu yu t khch quan. Bi vy, cn nhn nhn cc qui nh ca php lut v hiu lc hp ng nh l mt c ch hon chnh, bao gm s rng buc v s cho php ph v hp ng. Vic cho php ph v hoc n phng chm dt hp ng khng phi nhm chng li hiu lc rng buc ca hp ng m l mt c ch php l bo v, cng c hiu lc hp ng. 2. Qua kho cu thc trng php lut v thc tin p dng xc nh c rng, qui nh ca php lut hin hnh v hiu lc rng buc ca hp ng theo php lut Vit Nam hin cn mt s vn bt cp: (i) Php lut hin vn cn thiu qui nh v hiu lc rng buc ca hp ng; (ii) Cc bin php khc phc do vi phm ngha v giao vt trong trng hp vt c nh b h hng, hoc vt cng loi khan him trn th trng Trn c s nhn thc nhng bt cp , mc 4. 3 chng ny c a ra mt kin ngh, trong c cc kin ngh quan trng nh: + B sung iu 405a v hiu lc rng buc ca hp ng gm hai khon qui nh hai ni dung l hiu lc bt buc nh php lut ca hp ng, v hn ch quyn n phng rt lui khi hp ng c hiu lc; + Sa i, b sung khon 1 iu 303 BLDS 2005 theo hng b sung thm cc gii php khc phc trong trng hp vt c nh phi giao b h hng; + Sa i, b sung khon 3 iu 303 BLDS 2005 qui nh v trch nhim do vi phm ngha v giao vt cng loi ghi nhn cc trng hp ngoi l khi vt cng loi b khan him trn th trng v khi ngi b vi phm khng c kh nng tm ngun khc thay th, th bn c ngha v b cng ch phi giao vt cng loi thay v ch phi thanh ton gi tr vt v bi thng thit hi

154 Chng 5

HIU LC HP NG KHI HON CNH THAY I

Nh phn tch trong cc chng trc, bn cht ca hiu lc hp ng chnh l s rng buc nh php lut i vi cc bn t thi im giao kt m cc bn khng c t sa i, hoc hy b. Nhng hiu lc rng buc ca hp ng khng phi l hon ton bt bin, bi v vic thc hin hp ng ngy cng mang tnh cht ca mt qu trnh v hm cha nhiu loi ri ro [201, tr.19]. Nht l trong cc hp ng quc t di hn, cc bn thng i mt vi nhng ri ro bt thng t thin nhin, x hi, kinh t, chnh tr, k thut, thng tin, chnh sch, thm ch l ri ro v con ngi, lm o ln s cn bng vn c ca hp ng, lm cho vic thc hin ngha v trong hp ng tr nn rt kh khn tn km, thm ch khng th thc hin c. Trong nhng hon cnh nh vy, Lut hp ng c in [340, tr.9; 341, tr.1&3] s dng c ch cho php chm dt hp ng da trn iu khon bt kh khng. V sau, ngi ta thy rng, c ch ny khng cn thch hp gii quyt nhiu vn c t ra t thc tin v iu kin mt s kin khch quan c cng nhn l s kin bt kh khng th qu nghim ngt, m hu qu php l ca n th li qu cc oan do c thc hin theo c ch hoc c tt c, hoc l khng c g [341, 404]. Trong nhiu trng hp, cch gii quyt nh vy l khng bo m s cng bng cho cc bn. c c ch thch hp hn trong vic gii quyt tnh th kh khn, va bo v hiu lc hp ng, va bo m li ch cc bn, nhm phn chia hp l ri ro v ti lp s cn bng ca hp ng, cc nh kinh doanh thng mi quc t thng a vo hp ng ca h mt iu khon cho php bn gp kh khn c bit c yu cu bn kia m phn li hp ng, vi cc tn gi khc nhau nh iu khon tnh th c bit kh khn (hardship), hay s thay i hon cnh (change of circumstances). Vic ny gip cho h kim sot tt cc ri ro, cng nh qun l c hiu qu cc quan h hp ng trong hot ng kinh doanh ca mnh. V c s dng c hiu qu trong thc tin thng mi quc t, iu khon ni trn c chp nhn v tip thu trong thc tin xt x, c php in ha thnh cc qui nh c th trong php lut ca nhiu nc; v cng c a vo cc b qui tc v hp ng thng mi quc t, m in hnh l B Nguyn tc Unidroit v Hp ng thng mi quc t v Nhng nguyn tc chung ca Lut Hp ng chu u.

155 Vit Nam, iu khon bt kh khng c bit n v tha nhn c trong lut thc nh cng nh thc tin thng mi, nhng c ch cho php sa i hiu lc hp ng khi hon cnh thay i nh trn y vn cha c bit n mt cch su rng trong thc tin php l. Trong bi cnh trn v trong xu th Vit Nam ngy cng hi nhp su rng mi mt vo cc th ch kinh t quc t, vic tm hiu tip thu v a qui nh v iu khon sa i hp ng khi hon cnh thay i (hardship hay change of circumstances) vo php lut thc nh Vit Nam, l mt yu cu cn thit. Vi nhn thc , ni dung chng ny nghin cu v khi nim, ni dung c bn ca iu khon sa i hp ng khi hon cnh thay i (hardship clause hay change of circumstances), vi ngha l mt ngoi l ca hiu lc hp ng. T , xut mt s kin ngh trong vic xy dng v hon thin php lut lin quan ti iu khon ny. 5.1. IU KHON SA I HP NG KHI HON CNH THAY I: KHI NIM V NI DUNG C BN 5.1.1. Khi nim iu khon sa i hp ng do hon cnh thay i V nguyn tc, hp ng c giao kt hp php th c hiu lc nh php lut i vi cc bn. Nhng trn thc t, v nhng l do khch quan hoc ch quan, mt hoc cc bn khng th thc hin c cc ngha v hp ng. Theo php lut Vit Nam cng nh ca nhiu quc gia khc trn th gii, nu vic khng thc hin hp ng l do hnh vi tri php lut v c li ca bn vi phm hp ng, th bn vi phm b buc phi gnh chu trch nhim dn s trc bn c quyn b vi phm [15, Khon 1 iu 302]. Nhng nu vic khng thc hin ngha v trong hp ng l do nguyn nhn bt kh khng (hoc hon ton do li ca bn c quyn), th bn khng thc hin hp ng khng phi chu trch nhim v vic khng thc hin [15, Khon 2 v khon 3 iu 302 ]. Tuy vy, qui nh v iu khon bt kh khng c phm vi p dng rt hn ch v cng cha bao qut ht cc trng hp cn tr thc hin hp ng pht sinh t thc tin i sng, nn khng th l cn c php l ph hp gii quyt cc tranh chp ny. Thc tin cho thy trong nhiu trng hp, do gp nhng tr ngi khch quan khng lng trc c vo thi im giao kt hp ng, nn hp ng khng th thc hin c hoc nu c gng tip tc thc hin hp ng th mt hoc c hai bn s gp phi rt nhiu kh khn bt li, hoc s b thit hi rt ln.

156 V d nh vic xy dng Cng hng khng Quc t Ph Quc18 do Tng cng ty Cng hng khng Min Nam (Southern Airports Corporation- SAA) lm ch u t, Lin danh CPG- PAE (Singapore v M) l nh thu t vn, v Tng cng ty ACC B Quc phng l nh thu thi cng [128][259]. Trong qu trnh thi cng, ACC pht hin vng t nn ca cng trnh c a cht rt phc tp, khng ging nh kt qu m CPG- PAE kho st trc . Mc d vy, c SAA v CPG- PAE u khng c li, v vic kho st c thc hin ng tiu chun xy dng theo qui nh ca lut php Vit Nam. Nu tip tc thi cng theo phng n ban u s khng m bo an ton cho cng trnh khi s dng, v chi ph xy dng s tng ln rt cao so vi d kin, gy ra thit hi rt ln cho nh thu. Trn thc t, tr ngi ny pht hin sau khi hp ng xy dng c hiu lc, v ACC tin hnh mt phn cng on ca d n. V th, pha nh thu ACC mun m phn li ni dung hp ng. Tuy nhin, vn kh khn v mt php l y l, vic pht hin nn t cng trnh c a cht phc tp, gy kh khn rt ln cho vic thi cng v lm tng gi thnh ca cng trnh ln rt nhiu li khng phi l bt kh khng i vi vic thc hin hp ng. y cng khng phi l cn c chm dt hp ng, hay m phn li hp ng. Nhng nu khng m phn li hp ng, th vic tip tc thi cng s gp kh khn tr ngi rt ln v k thut, tng ng k chi ph v cng l s bt cng i vi ACC. V d va nu cho thy, vn thay i hon cnh lm cho vic thc hin hp ng gp kh khn tr ngi l vn php l khng him gp trn thc t, v rt cn c d liu trong lut lm c s gii quyt cc tranh chp lin quan. Trong thc tin thng mi quc t, cc nh kinh doanh quc t a vo hp ng ca h iu khon qui nh quyn c yu cu m phn li hp ng da trn nguyn tc trung thc, thin ch khi c s thay i ln v hon cnh, lm mt cn bng li ch c bn gia cc bn tham gia hp ng. iu khon ny c gi ngn gn l hardship clause, hay change of circumstances. Trn bnh din quc t, iu khon ny c chp nhn rng ri trong lut thc nh, thc tin thng mi, thc tin xt x ca nhiu quc gia, cng nh trong cc b nguyn tc tp qun thng mi quc t. V phng din l thuyt, khi nim hardship xut hin trong thc tin thng mi vo nhng nm 1960, v c trnh by ln u tin trong cc nghin cu

18

Xem thm: Quyt nh s 1608/Q-TTg ngy 10/11/2008 ca Th tng Chnh ph v ph duyt Quy hoch Cng Hng khng quc t Ph Quc, giai on n nm 2020 v nh hng n nm 2030.

157 ca Marcel Fontaine in trong quyn Php lut hp ng quc t, xut bn nm 1989 [49, tr.181-2]. Ni dung ca iu khon hardship cng c th hin trong cc hp ng thng mi quc t, di nhiu dng iu khon khc nhau. Theo GS. Marcel Fontain, t nhng nm 1975, Nhm nghin cu ca ng tp hp c hn 120 iu khon hardship t thc tin thng mi [66, tr.117-22]. Mt s iu khon loi ny c GS. Henry Lesguillons khi qut li v trnh by trong Hi tho quc t t chc H Ni nm 2004 [119, tr.86 -94]. Khi nim hardship v cc khi nim tng t cng c tha nhn trong nhiu h thng php lut, nh thut ng commercial impracticcability, frustration of purpose [301, tr.275] hay change of circumstances trong Thng lut [341, tr.403-4; 317, tr. 302-3], Wegfall der Geschftsgrundlage trong ting c [339, tr.378], hoc c cc hc gi ngi c dng vi thut ng khc l the foundation of the transaction [328, tr.319 48, c bit xem tr.318 & 381], hoc nhng thut ng khc tng t nh impossibility, imprvision, eccessiva onerosit sopravvenuta[318, tr.415]. Trong chng ny, chng tc gi khng nghin cu mi vn lin quan ti bt kh khng v hardship, m ch tp trung lm r cc vn c bn ca iu khon sa i (iu chnh) hp ng do hon cnh thay i. iu khon sa i hp ng khi hon cnh thay i l iu khon qui nh cho php mt bn trong hp ng c quyn xin iu chnh hp ng, khi c nhng tc ng khch quan lm thay i v hon cnh v mi trng kinh t ti mc gy nh hng nghim trng n quyn li ca mt hoc cc bn, lm mt i cn bng kinh t ca hp ng, lm cho vic thc hin hp ng tr nn cc k kh khn v tn km [100, tr.42]. Theo , iu khon sa i hp ng khi hon cnh thay i qui nh nhng c ch can thip hp l vo hiu lc hp ng, nh cho php cc bn yu cu ta n iu chnh hp ng, hoc nu khng iu chnh c th cho chm dt hp ng, nhm ti lp s cn bng v li ch gia cc bn trong hp ng, theo nhng cn c, th tc, iu kin cht ch v hn ch. y c xem l l nguyn tc va i lp, va b sung cho nguyn tc hiu lc bt bin ca hp ng; ng thi cng l mt ngoi l quan trng v khng th thiu ca nguyn tc hiu lc bt bin ca hp ng. iu khon sa i hp ng khi hon cnh thay i c nh ch trong lut nhm xc lp cn c php l sa i hp ng ang c hiu lc vi iu kin: khi

158 c s thay i khng th lng trc c ca hon cnh; nm ngoi s kim sot ca cc bn; nh hng ti hp ng vi mc lm o ln s cn bng trong hp ng. V th, vai tr ca iu khon ny s l: (i) duy tr s cn bng v mt kinh t v m bo s tip tc thc hin hp ng; (ii) phn chia ri ro gia cc bn; v (iii) thit lp mt c ch iu chnh hp ng ph hp vi li ch ca cc bn [119, tr.87]. Cng cn lu , gia iu khon qui nh v sa i hp ng khi hon cnh thay i v iu khon qui nh v s kin bt kh khng c s khc bit r rt. Trong php lut Vit Nam, s kin bt kh khng c nh ngha l s kin xy ra mt cch khch quan khng th lng trc c v khng th khc phc c mc d p dng mi bin php cn thit v kh nng cho php [15, khon 1 iu 161]. S kin bt kh khng thng c cc c im l xy ra mt cch khch quan, khng lng trc c, khng th khc phc c mc d p dng mi bin php cn thit. Php lut ca cc nc v c trong cc b php in quc t u xem s kin bt kh khng l cn c min trch nhim cho bn vi phm hp ng, hoc cho php chm dt vic thc hin hp ng [37, iu 79] [25, iu 7.1.7] [227, tr.110; 317, tr.403 4], thm ch l tc ot kh nng thc hin hp ng [119, tr.78]. iu khon sa i hp ng khi hon cnh thay i c nhng c im gn ging vi s kin bt kh khng nh c hai u l s kin khch quan, xy ra sau khi cc bn xc lp hp ng, nh hng trc tip ti qu trnh thc hin hp ng. Nhng iu khon sa i hp ng khi hon cnh thay i cng khc vi s kin bt kh khng nhiu im quan trng, nh: c phm vi p dng rng ri hn; thng c dnh cho vic iu chnh cc hp ng di hn; v mc ch ca iu khon ny l xut vic m phn li v tu chnh cc iu khon hp ng sao cho vic thc hin hp ng c th c tip tc, thay v s kin bt kh khng l lm chm dt hp ng hoc min trch nhim cho bn vi phm hp ng. 5.1.2. Ni dung c bn ca iu khon sa i hp ng khi hon cnh thay i Qua nghin cu php lut ca mt s nc v cc b qui tc v hp ng quc t c qui nh v iu khon hardship hoc cc iu khon tng ng, c th thy ni dung c bn ca qui nh ny thng d liu v ba vn sau y: 5.1.2.1. Quy nh khi nim iu khon sa i hp ng khi hon cnh thay i v hn ch p dng

159 Ni dung quan trng nht v l cn c p dng iu khon sa i hp ng khi hon cnh thay i chnh l qui nh v khi nim v ni dung c bn ca iu khon ny, cng nh nhng iu kin p dng v phm vi p dng chng. Tuy vy, ni dung ny c qui nh trong php lut ca cc nc l khng ging nhau. Theo cc chuyn gia quc t v vn ny, th vn xc nh nh th no l hon cnh thay i (hay s kin hardship), dng nh cn l cu chuyn ring ca php lut mi quc gia [296, tr.319 22; 318, tr.415 -33] v qui nh v vn ny trong php lut cc nc vn cn c s khc bit nht nh. iu ny cng khng phi l kh hiu, v php lut l s phn nh ca kin trc thng tng v da trn cc iu kin kinh t, chnh tr, x hi c th ca mi nc. Ngay c cc qui nh v cng vn ny trong cc b nguyn tc v hp ng quc t l PICC v PECL cng khng hon ton ging nhau. Trong thc tin thng mi quc t cng vy, ty hon cnh v mc ch c th trong mi hp ng m cc bn c th tha thun nhng iu khon sa i hp ng khi hon cnh thay i thch hp. Qua nghin cu v tng kt t thc tin, GS. Henry Lesguillons cng ch ra c gn 10 cch qui nh khc nhau v iu khon sa i hp ng khi hon cnh thay i (hardship clause) thng thy trong cc hp ng quc t [119, tr.88]. Nhn chung, iu khon ny thng qui nh cc ni dung ch yu sau y: - Khi nim hon cnh thay i: thng th khi nim hon cnh thay i c xc nh da trn hai yu t c bn iu khon ny ra i, l s xut hin ca cc s kin khch quan ngoi ch v ngoi s d liu ca cc bn, sau khi xc lp hp ng, m hu qu ca n l lm thay i c bn s cn bng v li ch gia cc bn trong hp ng (in hnh nh cch tip cn ca PICC). - Nhng du hiu b sung km theo nhn bit v hon cnh thay i v/hoc nhng s kin b loi tr (khng c coi l hon cnh thay i). Ngi ta c th loi tr cc trng hp nh: tnh trng ri ro v i tng ca hp ng, nhng bin ng v chnh tr, s tng gi ca mt mt hng xc nh no c s dng trong vic thc hin hp ng, hoc thm ch l loi tr c s mt gi ca ng tin thanh ton trong hp ng

160 5.1.2.2. Ngha v thng tho li hp ng v cc th tc php l cn thit ca vic thng tho li hp ng Theo qui nh trong lut hp ng ca nhiu nc, cc s kin bt kh khng thng a n h qu l lm cho hp ng chm dt hiu lc v bn khng thc hin hp ng thng c min tr trch nhim dn s trc bn kia [339, tr.378]. Theo Richard Stone, th s kin bt kh khng c thc hin theo c ch tt c hoc l khng c g, v khng c mt cch thc no c a ra lm thay i hp ng [341, tr.304]. Khc vi vic x l hu qu ca vic vi phm hp ng do s kin bt kh khng, cc gii php iu chnh tnh trng mt cn i li ch gia cc bn trong hp ng do thay i hon cnh thng cho php cc bn thng tho li hp ng. iu ny thm ch c chp nhn ngay c i vi cc nc nh c, H Lan, , Hy Lp, B o Nha v an Mch, mc d mt vi quc gia trong nhng quc gia ny th ch c thm phn mi c th chnh sa hp ng, ch khng phi l cc bn, nh GS. Catherine Kessedjian tng nhn xt [318, tr.426 7]. Tm li, x l hu qu ca hon cnh thay i mang li, ngi ta thng qui nh v cch thc v th tc cc bn c th thng tho li vi nhau v vic sa i ni dung hp ng cho ph hp vi hon cnh thc t v s cng bng gia cc bn. Mt vn gy bn khon ca nhiu hc gi l, nn qui nh c ch thng tho t ng sau khi mt bn chng minh c s kin hon cnh thay i cn tr thc hin hp ng, hay phi nh n mt c ch khc thch hp. Cch chn la ca PICC [iu 6.2.2], PECL [iu 6: 111]v qui nh trong php lut ca nhiu nc [V d : Khon 3 iu 1467 BLDS Italia] l thng qua c ch yu cu ta n xem xt trong thi gian khng chm tr, tr trng hp cc bn c tha thun khc. 5.1.2.3. Thng tho li khng thnh cng v hu qu php l ca n. Mt trong nhng ni dung rt cn c d liu l hu qu php l khi cc bn khng t nguyn thng tho, hoc vic thng tho li ni dung ca hp ng khng thnh cng. y l vn kh v gy nhiu tranh ci. Thc tin thng mi v cc t chc tham gia son tho PICC xut nhiu phng n la chn cho qui nh ny trong PICC, nh iu khon do Phng Thng mi Paris xut l:

161
Nu cc Bn khng tho thun c vi nhau v vic sa i hp ng trong thi hn 90 ngy sau khi c yu cu sa i hp ng, th hp ng tip tc c hiu lc theo quy nh ban u.

hoc iu khon do Phng Thng mi Quc t xut:

Nu cc Bn khng th tho thun c vi nhau v vic sa i hp ng trong thi hn 90 ngy sau khi c yu cu sa i hp ng th mt trong cc Bn c quyn a v vic ra U ban thng trc iu tit quan h hp ng ca Phng Thng mi [Q]uc t gii quyt, U ban ny ch nh mt bn th ba (hoc mt hi ng gm ba thnh vin) theo quy nh ca Quy ch iu tit quan h hp ng ca Phng Thng mi [Q]uc t. V quyn li ca cc Bn trong hp ng, bn th ba xc nh xem cc iu kin sa i hp ng quy nh ti khon 1 hi cha. Nu cc iu kin ny hi th bn th ba s sa i hp ng mt cch cng bng nhm m bo khng mt Bn no b thit hi mt cch thi qu. Cc quyt nh ca bn th ba rng buc cc Bn trong hp ng v c nhp vo hp ng.

Tuy vy, cc gii php ny u khng thnh cng [119, tr.93]. Trn thc t, PICC v PECL u chn gii php l, ty trng hp, mt cch hp l v c cn c, ta n hoc cho php chm dt hp ng, hoc buc cc bn phi m phn li hp ng trn c s ca nguyn tc trung thc, thin ch [25, Khon 3, 4 iu 6.2.3; 343, Khon 2, 3 iu 6.111]. 5.2. IU KHON SA I HP NG KHI HON CNH THAY I (HARDSHIP CLAUSE) TRONG PHP LUT CC NC V TRONG TP QUN THNG MI QUC T 5.2.1. iu khon sa i hp ng khi hon cnh thay i trong thc tin php l ca mt s nc chu nh hng ca h thng lut Chu u lc a - Civil law iu khon sa i hp ng khi hon cnh thay i (iu khon hardship) iu chnh hp ng trong trng hp hon cnh thay i c cc nc theo h thng lut chu u lc a chp nhn nhng mc khc nhau: Php: Trong v tranh chp v hp ng cung cp kh t gia Cng ty kh gas Bordeaux vi Ta Th chnh thnh ph, do Tham chnh vin (Ta Hnh chnh ti cao Php) x ngy 30/3/1916. Tham chnh vin khng nh rng, khi hon cnh thay i khng lng trc c i vi mt hp ng hnh chnh (khi nim hp ng hnh chnh [Xem 228, tr.134]) mt bn c th c bi thng xc lp li s cn bng v ti chnh trong hp ng v trnh vic cung cp dch v cng cng b gin on. Mc d cc bn tha thun trong hp ng mt gi cung cp kh t c nh trong mt khong thi gian di, nhng do gi kh t tng t bin, nu ta khng

162 sa i cc iu kin (hoc tng gi) cung cp kh t, chc chn cng ty kh t s i n b vc ph sn v vic cung cp kh t s phi dng li. Do , Tham chnh vin cho rng, cc bn c th tha thun thay i hp ng, nhng nu bn mua kh t t chi vic ny th cng ty kh t c quyn i mt khon tin b p tn tht, gi l tin bi thng cho khon tn tht khng th d on, do c quan hnh chnh c cung cp kh t tr.19 Tuy c n l hnh chnh chp nhn, nhng l thuyt ny b cc ta n t php ca Php bc b gn nh tuyt i. Trong v Knh o Craponne (S. 1876, I, trang 161; D.1876, I, trang 193) do To n t php ti cao x ngy 06/3/1876: Trong mi trng hp, to n khng th cn c vo thi gian v hon cnh thay i cc tho thun ca cc bn v thay th cc tho thun c cc bn t do chp thun bng nhng iu khon mi, d to n cho rng quyt nh ca mnh c cng bng th no chng na [268, tr.154]. V, cc to n t php lun trung thnh vi nh hng ny, bt chp nhng bin ng kinh t v tin t xy ra sau i chin th gii ln th hai. Bn n ca To n t php ti cao ngy 18/1/1950 (D. 1950, tr. 227), mt ln na khng nh: Thm phn khng th vin dn vic tng gi, k c khi iu c xc nhn, gii phng mt bn khi nhng cam kt r rng v chnh xc m bn t do chp thun [268, tr.14]. Mc d vy, Ta Paris cng tng dn iu khon t v ca hp ng cho php cc bn c tin hnh thng lng xem xt kh nng thay i hp ng (v gi hoc mt iu khon khc) nu gi xng tng hn 6 francs mt tn so vi gi quy nh trong hp ng (Paris, 28/9/1976, JCP 1978, II, 18810, ghi ch J.Robert) [268, tr.154]. Cc phn quyt ca Ta n T php ti cao b nhiu hc gi nhn xt l cng nhc, v cho rng cn phi thay i cch nhn nhn ny [268, tr.154]. Thc tin thng mi Php cng phn ng li cc phn quyt ny bng cch, khi k kt hp ng, cc bn thng a vo cc hp ng ca mnh iu khon cho php m phn li hp ng khi hon cnh thay i. Michel Trochu nhn xt v thc t ny nh sau: C l iu ny gii thch v sao c t phn quyt c a ra trong lnh vc ny, bi v cc bn t tm ra nhng gii php khc cho nhng vn ca h [268, tr.154]. Nhn nhn li vn ny, c kin cho rng: Pacta sunt servanda vn l nguyn tc

19

Xem: CE. 30-3-1916 Gaz de Bordeaux, Rec. 125 Les Grands errtts No. 34.

163 thng tr nghim cm s thch ng ca hp ng t i vi hon cnh thay i. Nhng qua phn quyt gn y ca Ta Phc thm ngy 16/3/2004 (Dalloz 2004, Jur. P. 1754, note D. Mazeaud.), th nguyn tc ny r rng l b mi gia v c l l dn dn phi thay i V rt r rng l hc thuyt hardship cui cng li c chp nhn [318, tr.426]. Tri ngc vi n l, lut thc nh ca Php li qui nh minh th cho php iu chnh ni dung hp ng khi hon cnh c s thay i, nh khon 1 v khon 2 iu 900 BLDS Php cho php bn tng cho ti sn c quyn yu cu ta n iu chnh li hp ng trong trng hp c s thay i ca tnh hnh lm cho vic thc hin ngha v tr nn kh khn, hoc c th gy thit hi nghim trng, hoc l do duy tr iu khon ca hp ng tng cho khng cn na [227, tr. 91-2]. Sau i chin 1914 1918, do ng tin ca Php b mt gi, Quc hi ban hnh o lut Failliot ngy 21/01/1918 cho php cc thm phn c chm dt cc hp ng xc lp trc 1914 m vic thc hin l qu bt cng i vi ngi c ngha v. Sau i chin th gii th hai, Quc hi Php cng ban hnh o lut ngy 22/4/1949 cho php ta n chm dt cc hp ng k kt trc ngy 02/9/1939 m vic thc hin (giao hng hay lm mt cng vic) tr nn qu nng nhc cho ngi c ngha v, v tnh hnh chin tranh hay do s thay i kinh t khng th d on c khi giao kt hp ng [168, tr.256]. Nh vy, iu khon hardship tuy khng c tha nhn rng ri trong n l, nhng li c ghi nhn trong lut thc nh khi xy ra nhng bin c c bit, v d khi c s mt gi ng tin trong thi k hu chin, nh va nu trn, v c chp nhn kh ph bin trong thc tin thng mi ti Php. c: BLDS c cng c nhng iu khon qui nh gin tip lin quan n vn ny, th hin trong iu 313 BGB qui nh v Interference with the basis of the transaction, hay iu 242 BGB Performance in good faith. Trong Lut v iu kin thng mi chung ca CHLB c (AGBG)20 [208, tr.55], mt mt nh lm lut cho php iu chnh ni dung hp ng, nhng mt khc cng cm cc bn tuyt i khng c bo lu iu khon nhm tng khon th lao i vi hng ha hoc dch v c thc hin trong vng 4 thng sau khi k hp ng. Tuy vy, Qui nh ny khng p dng cho nhng hng ha hoc dch v thc hin trong phm vi cc quan

20

Lut ny ht hiu lc t ngy 31/12/2001. Cc ni dung lin quan ny hin c a vo trong BLDS c, quy nh ti cc iu 305-310.

164 h ngha v lu di, cng nh cc dch v c lin quan ti gi c, p dng theo khon 1 thuc mc 99 Lut v hn ch cnh tranh khng lnh mnh.[208, tr.58]. y l c s php l gii quyt cc tranh chp hp ng lin quan n s kh khn hoc s thay i hon cnh, lm cho hp ng khng th thc hin, hoc nu thc hin th tn km chi ph ln, hoc lm gim nghim trng thu nhp ca bn c ngha v. C th xem cc n l, nh: RGZ 112, 329, 3334; RGZ 119, 133 (sale of land); RGZ 147, 286 (sale of cotton) [328, tr.340]. Italia: Theo cc iu 1467 - iu 1469 BLDS Italia, cc cam kt hp ng c th b hu b khi c s kin bt ng xy ra mt cch bt thng, khng th lng trc c, sau khi hp ng c k kt v trc khi thc hin hp ng, v s kin ny lm cho vic thc hin hp ng ca mt bn tr nn v cng kh khn. Nhng cc bn cam kt c th trnh vic hu b hp ng bng cch ngh chnh sa hp ng mt cch cng bng (khon 3 iu 1467) [310, tr.211], hoc p dng iu 1374 BLDS v iu 114 B lut T tng dn s yu cu thm phn thit lp li s cn bng trong hp ng theo mt s iu kin do php lut qui nh [4, tr.8-9]. Tuy nhin, cc quy nh ny khng phi l bt buc v cc bn c th tho thun vi nhau khng phi p dng chng. n l ca cc ta n Italia cng tng c phn quyt v vn ny, v d: xem cc n l Cass. civ., sez. II, 20/6/1996, no. 5690 (Roccheri c. Mazzara); Cass. civ., 9/4/1994, no. 3342 (Soc. Arbos c. Com. Piacenza) B o Nha: c s ca vic tha thun ni dung hp ng trong BLDS B o Nha da trn hai iu lut nh: khon 2 iu 252 ni v s sai st trong vic xc nh ch, ng c k hp ng, v cc iu 437 439 gii quyt hoc sa i, b sung hp ng da trn c s l c hon cnh thay i. Mt khc, Khon 1 iu 437 cng qui nh: Khi c hon cnh m cc bn da trn hon cnh quyt nh giao kt hp ng b thay i bt thng v khng phi l ri ro hp l trong hp ng, th bn bt li c quyn yu cu hy b hp ng, hoc sa i hp ng da trn c s cng bng, khi ngha v m ngi buc phi thc hin vi phm nghim trng nguyn tc trung thc, thin ch. Cn theo iu 438 th bn b thit hi khng c yu cu sa i b sung hp ng, nu bn vi phm hp ng ti thi im c s thay i hon cnh. iu 439 cn qui nh thm rng: nguyn tc chung lin quan n hu qu php l ca vic chm dt hp ng th vn p dng, k c vic chm dt hp ng da trn hon cnh thay i. [296, tr.323 - 25].

165 H Lan: Tng t nh qui nh iu 437 BLDS B o Nha, iu 258 BLDS H Lan cng cho php thm phn c quyn can thip, chnh sa cc iu khon ca hp ng da trn s thay i ca hon cnh m cc bn khng lng trc c khi giao kt hp ng [314, tr.202 & 204]. Ngoi ra, vic sa i hp ng khi hon cnh thay i (hon cnh hardship) cn c chp nhn bi cc nc khc nh Hy Lp v an Mch [318, tr.427]. Nht Bn: Lut thc nh cng tha nhn iu khon sa i hp ng khi hon cnh thay i. iu 415 BLDS Nht Bn qui nh bn cam kt phi c trch nhim vi bn kia do vic khng thc hin ngha v cam kt. C kin cho rng iu ny cho php suy lun ngc li l, mt bn trong hp ng s khng phi chu trch nhim g nu vic khng thc hin hp ng l do nhng s kin khch quan ngoi mun [333, tr.398]. Cc lut gia Nht Bn cng chp nhn hc thuyt thay i hon cnh khi chi ph thc hin hp ng hay gi c th trng c s thay i ln. Theo Luke Nottage, hc thuyt ny pht trin trc ht l do cc nh nghin cu php lut Nht Bn xng, do rt ra t l lun php l ca c, c ngun gc t tnh trng lm pht sau chin tranh th gii ln th nht v c a vo BLDS c, th hin minh th trong qui nh v nguyn tc thin ch v trung thc. Hc thuyt ny cng c ta n Nht Bn chp nhn v p dng t sau th chin th hai, n nhiu thp nin sau ny [333, tr.385 418], c th l t sau Sc lnh kim sot ha c ban hnh (Bn n ca Ta n Ti cao 06/12/1944), v sau tr thnh nguyn tc chung ca hp ng (Bn n Ta n Ti cao ngy 28/01/1954) [283, tr.500 -1]. mt s nc thuc Chu Phi nh Ai Cp, Syrie, Algrie u c nhng quy phm iu chnh cc hp ng, cng hoc t, trong trng hp hon cnh thay i bt ng. Nhng iu khon do cc bn tha thun tri vi cc quy phm ny u v gi tr [268, tr.153]. 5.2.2. iu khon hardship trong thc tin php l mt s nc theo h thng Thng lut - Common law Cc nc c php lut chu nh ca h thng Thng lut, in hnh l Anh v M, cng c nhng cch tip cn khc nhau i vi iu khon hardship. Anh: theo Richard Stone, vic thay i hon cnh khng c xem l cn c iu chnh hay m phn li hp ng [341, tr.404]. Mt tc gi khc cng c cng quan im: Anh theo quan im lut truyn thng th ngi mc n ch phi m

166 bo tr cho ch n mt s tin no , ch khng phi thc hin ngha v theo thc cht. [208, tr.20]. Nhng theo Ewan McKendrick th nhn nh ny khng ng: ngi ta thng ni rng lut Anh khng khuyn khch vic chnh sa vic tho thun trong trng hp vic thc hin hp ng tr nn kh khn hn. iu ny khng hon ton chnh xc. [317, tr.303]. Cng theo McKendrick, trong nhng trng hp ny, ta n Anh c th cho php iu chnh hp ng v chnh cc bn k kt hp ng phi thc hin vic chnh sa. To n khng thc hin vic chnh sa hp ng k gia cc bn, cng khng a ra bt k tr ngi no khi cc bn c gng chnh sa tho thun ca h ph hp vi hon cnh thay i, nh quyt nh ca Thng Vin trong v Walford v. Miles [1992] 2 AC 128 [317, tr.61 & 303]. n l Anh cng chp nhn mt cch him hoi vic thay i hon cnh dn n chm dt hp ng, nh phn quyt ca Ta Phc thm, trong v Krell v. Henry [1903] 2 KB 740: B n thu mt cn h ti Pall Mall trong vng 2 ngy. Mc ch khi k kt hp ng l nhn thy l diu hnh ng quang ca Edward VII, mc d mc ch ny khng c nu ra trong hp ng. Sau khi hp ng c k kt, l ng quang b hon do nh vua b bnh nn hp ng khng th thc hin c. Ta tuyn cho php bn thu c t chi thc hp ng m khng phi bi thng. Nhng thc cht phn quyt ny khng da trn iu khon sa i hp ng do hon cnh thay i (hardship) m li cn c vo iu khon khng th thc hin hp ng do mc ch ca hp ng khng cn tn ti (Frustration of purpose). M: n l c nhng phn quyt khng nht qun v vn ny. Trong v Transatlanic Corp. v United States, CA Dis Col 363 F2d 312 (1966): Hp chng quc Hoa K (A) thu Cng ty xuyn i ty dng (B) ch tu chin qua knh o Suez, Ai Cp. Nhng do knh o ny b ng ca, nn B phi i ng vng quanh Chu Phi, lm tng chi ph rt ln. B i A phi thanh ton chi ph tng ln ngoi d kin. Mc d ta nhn xt: ngha v khng th thc hin c khng cn phi hiu theo ngha tuyt i m ch da trn cc l do kinh t l , nhng ta li kt lun rng, ri ro ny c th phi do mt bn d liu v phi t gnh chu. Tri li, cc n l Mineral Park land Co. v. Howard, 156 P. 458 Cal. 1916 v n l Waegemann v. Montgomary Ward & Co., Inc. CA9 Cal 713 F2d 452 (1983) cng nh iu 2 609 UCC li tha nhn v cho p dng iu khon m phn li hp ng do thay i hon cnh. Theo , nu chi ph thc hin ngha v trong thc t thay i ng k, ln hn gp

167 10 ln chi ph d kin vo thi im giao kt hp ng, th bn phi thc hin ngha v c th yu cu ta n tuyn b chm dt quan h hp ng v l do khng th thc hin c [203, tr.2045] hoc cho php iu chnh hp ng. Trong v Waegemann kin Montgomary Ward & Co., Inc., b n thu nh ca nguyn n, thi hn 10 nm, vi s tin l 16.703 USD/nm gm c tin thu bt ng sn, o hn sau mi 5 nm. Sau 5 nm ln th nht, nguyn n yu cu chm dt hp ng v chnh ph Bang California quyt nh gim thu bt ng sn dn n gim gi tr bt ng sn. iu ny dn n tin thu nh (c tnh theo bng gi ly tin) cng gim xung cn 15.854,49 USD/nm, nn b n yu cu nguyn n phi tnh li tin thu theo gi ny. Nguyn n kin b n ra ta yu cu ta n cho chm dt hp ng v cho rng, hp ng khng th tip tc thc hin c l do bt kh khng. Nhng c ta S thm v Phc thm u bc yu cu ca bn nguyn n v cho rng, y l hon cnh kh khn c bit, khng phi l bt kh khng, v buc cc bn phi tip tc hp ng theo gi m b n xut. Ta s thm lp lun rng: cc bn giao kt hp ng th phi thc hin cam kt da trn nim tin chc chn l hp ng s c thc hin, nhng qui tc ny s phi b gii hn trong mt s trng hp gi l extreme hardship (hon cnh kh khn tt cng).21 Tng t quan im ny, c th xem thm cc n l khc, nh: Cutter Laboratories, Inc. v. Twining, 221 Cal.App.2d 302, 34 Cal.Rptr. 317 (1963); Lloyd v. Murphy, 25 Cal.2d 48, 153 P.2d 47 (1944); Davidson v. Goldstein, 58 Cal.App.2d Supp. 909, 136 P.2d 665 (1943); Grace v. Croninger, 12 Cal.App.2d 603, 55 P.2d 940 (1936)... Nh vy, nhng thng tin trn cho thy bng nhiu cch th hin khc nhau, php lut hp ng ca cc nc pht trin phng Ty v nhiu quc gia khc trn th gii hin nay u c xu hng chp nhn c ch cho php mt bn c quyn yu cu bn kia m phn li, hay iu chnh ni dung hp ng khi hon cnh kinh t bin ng so vi thi im xc lp hp ng, nu vic lm tha mn tiu chun hp l v cng bng [208, tr.21]. 5.2.3. Qui nh v hardship trong cc b nguyn tc hp ng thng mi quc t Trn bnh din quc t, trong thc tin thng mi, iu khon iu chnh hp ng khi hon cnh thay i thng c cc thng gia a vo hp ng chia s

21

Waegemann v. Montgomary Ward & Co., Inc. CA9 Cal 713 F2d 452 (1983).

168 ri ro khi c s bin ng ln v kinh t. Cc B qui tc quc t, nh iu kin ca Hip hi cc k s t vn quc t (FIDIC) trong vn bn v xy dng (Sch ) hoc trong vn bn v cc hot ng in lc v c kh (Sch vng), u c qui nh v cc iu khon ri ro ngoi l, ri ro c bit nhm lm c s gii quyt cc trng hp kh khn c bit khi thc hin cc hp ng xy dng, tng t nh iu khon hardship hay bt kh khng [49, 185]. Ngy nay, iu khon ny cng tr nn ph bin hn trong thc tin thng mi quc t, v tr thnh c s thc tin quan trng c php in ha trong cc B nguyn tc v hp ng quc t, nh B Nguyn tc Unidroit v hp ng thng mi quc t (PICC) v B nguyn tc Lut hp ng chung Chu u (PECL). Theo nh ngha ca UNIDROIT trong PICC 2004, hon cnh hardship c xc lp khi xy ra cc s kin lm thay i c bn s cn bng gia cc ngha v hp ng, hoc chi ph thc hin ngha v tng ln, hoc do gi tr ca ngha v i tr gim xung... v tha mn bn iu kin c qui nh trong on tip theo ca iu 6.2.2: cc s kin ny xy ra hoc c bn b thit hi bit n sau khi giao kt hp ng; bn b bt li khng tnh n mt cch hp l cc s kin khi giao kt hp ng; cc s kin nm ngoi s kim sot ca bn b bt li; v, ri ro v cc s kin ny khng c bn b bt li gnh chu [25, tr.295-301]. Tuy vy, PICC cng khng tha nhn mt cch d di quyn m phn li hp ng khi hon cnh thay i c bit. Nhng ngi son tho vn kin ny kh l kht khe, bi iu 6.2.1 PICC quy nh Cc bn phi hon thnh ngha v ca mnh ngay c khi vic thc hin hp ng tr nn tn km hn, tr cc quy nh lin quan di y v hardship. iu ny cho thy, vic p dng hardship cho php iu chnh li hp ng l mt ngoi l ca nguyn tc pacta sunt servanda v phi c p dng rt hn ch. Cng theo iu 6.2.3 PICC, h qu ca vic p dng iu khon hardship cho php: (i) bn b bt li c a ra yu cu m phn li hp ng (mt cch khng chm tr v c cn c) v nu yu cu m phn li hp ng th khng c tm nh ch thc hin ngha v; (ii) nu cc bn khng th tha thun li c hp ng trong thi gian hp l th mi bn c th yu cu ta n gii quyt; ta n nu xt thy hp l th c th hoc cho chm dt hp ng theo iu kin v thi im do ta n nh, hoc cho sa i nhm thit lp li s cn bng gia cc ngha v hp ng.

169 iu khon hardship c th hin trong B nguyn tc lut hp ng chung Chu u (PECL phin bn 1999 - 2002), vi tn gi S thay i hon cnh (change of circumstances) ti iu 6:111. Theo nhn xt ca GS. Michel Trochu th Cc nguyn tc ca php lut hp ng Chu u cng c nhng qui nh gn ging, nhng rng hn khi nim hardship trong B nguyn tc Unidroit [268, tr.156]. Theo qui nh ti iu 6: 111 PECL, Mi bn phi hon thnh cc ngha v ca mnh, ngay c khi vic thc hin hp ng tr nn tn km hn, do chi ph thc hin tng hoc do gi tr ca khon thanh ton gim (khon 1), v khon 2: Tuy nhin, nu vic thc hin hp ng tr nn qu kh khn bi v c s thay i v hon cnh, cc bn buc phi tin hnh tho thun vi quan im l chnh sa hp ng hoc chm dt hp ng, vi iu kin l: (a) Vic thay i hon cnh xy ra sau thi gian k kt hp ng; (b) kh nng xy ra s thay i v hon cnh khng phi l mt trong nhng tnh hung m cc bn buc phi tnh n khi k kt hp ng; v (c) ri ro v s thay i khng phi l mt tnh hung, theo nh hp ng, bn b nh hng b yu cu l phi gnh chu. PECL cng x l hu qu ca vic p dng qui nh v s thay i hon cnh, nh qui nh ti khon 3 iu 6:111:
Nu cc bn khng t c tho thun trong khong thi gian hp l, to n c th: (a) chm dt hp ng vo ngy v theo nhng iu kin do to n xc nh; hoc (b) sa i hp ng nhm phn chia thit hi v li ch pht sinh do hon cnh thay i cho cc bn theo mt cch thc cng bng v bnh ng. Trong bt k trng hp no k trn, to n c th buc bn t chi tha thun hoc vi phm tho thun tri vi nguyn tc trung thc v thin ch phi bi thng thit hi m bn kia phi gnh chu [343, khon 3 iu 6 :111].

Nh vy, mc d trong PECL, iu khon iu chnh hp ng do hon cnh thay i c s dng vi tn gi khc vi PICC, nhng vn c qui nh trong hai vn kin ny tng i ng nht v khi nim, phm vi p dng, cng nh cc gii php x l h qu php l ca n. So vi PICC, qui nh trong PECL c phn y v hp l hn v khon 3 iu 6:111 qui nh trch nhim cc bn phi iu chnh hp ng trc, v ch khi cc bn khng iu chnh th ta n cho chm dt hoc sa i hp ng theo mt cch thc cng bng. Thc tin gii quyt tranh chp v vn ny ti cc t chc ti phn quc t cng chp nhn nguyn tc rebus sic stantibus v iu khon hardship mt cch thn trng, ngay c khi ni dung ca iu khon ny cha c qui nh r rng trong cc vn bn php in. Theo , cc trng ti quc t tng cng nhn v p dng

170 nguyn tc rebus sic stantibus v iu khon hardship, thm ch xem y nh l mt iu khon ngm hiu ca hp ng, nu iu khon ny khng c cc bn qui nh c th trong hp ng. iu ny c th hin trong mt quyt nh ca trng ti nm 1972, khi xem xt ti vic chuyn mt hp ng i l bn hng sang hp ng i l sn xut. Cc trng ti cng xc nh nhng tiu ch p dng nguyn tc rebus sic stantibus khi nhn nh vic p dng nguyn tc ny l cn thit trong nhng trng hp c l do bt buc, nu nhn vo tnh cht cn bn ca vic sa i cng nh vo tnh cht c bit ca chnh hp ng, ca i hi trung thc v cng bng v tt c nhng hon cnh xung quanh hp ng (ICC, Quyt nh trng ti s 1512, Clunet 1974, tr. 897, Y.D) [268, tr.115]. Mt phn quyt khc - Phn quyt ca ICC (trong v s 2291 (1975), trang 989) ch ra iu ny mt cch r rng rng:
Tt c cc giao dch thng mi u c din ra trn c s cn bng v ngha v vi nhau v ph nhn nguyn tc ny s khin cho hp ng tr thnh mt hp ng tm b, c giao kt trn c s u c hoc s ngu nhin. chnh l nguyn tc lex mercatoria theo ngha v ca cc bn lun phi cn bng v mt ti chnh, hp ng phi c gii thch trn c s ngay tnh, mi bn c ngha v i x vi bn kia sao cho khng gy hi cho bn v vic m phn li hp ng mt cch hp tnh hp l l mt tp qun v cc hp ng kinh t quc t. [268, tr.154-5].

Tm li, mc d vn cn nhiu im khc bit, nhng nguyn tc rebus sic stantibus v iu khon hardship c cn nhc thn trng v tip nhn nhng mc khc nhau trong php lut ca nhiu nc cng nh trong cc b qui tc thng mi quc t v thc tin ti phn quc t theo phng thc trng ti. Tuy vy, hu ht cc nc v cc b qui tc v hp ng quc t c s chp nhn p dng nguyn tc ny u cp n ba ni dung c bn l: (i) Cc quc gia c cp chp nhn mt cch thn trng v khng ri xa hoc ph nhn cc nguyn tc pacta sunt servanda, nguyn tc thin ch v ngay tnh. (ii) C s nn tng ca vic p dng nguyn tc ny l s thay i ln ca hon cnh m cc bn khng th bit v khng th lng trc c, v s xut hin ca n lm nh hng ti s cn bng li ch ca hp ng; (iii) Hu ht cc quc gia v cc b php in quc t v hp ng u c xu hng xem hardship nh l mt iu khon mc nhin ca php lut hp ng, cho d cc bn khng c tha thun trc trong hp ng v vic la chn p dng nguyn tc ny. Qui nh ny cho php cc thm phn c th vin dn iu khon hardship gii thch hp ng, hoc c th p dng cc ch ti buc cc bn thng tho li ni

171 dung hp ng trong trng hp xy ra s thay i hon cnh, lm thay i nn tng c bn ca hp ng; (iv) Cc gii php c a ra l ch yu nhm ti cu trc li s cn bng li ch gia cc bn trong hp ng, m bo cho hp ng c tip tc thc thi bng cch cc bn t thng tho li ni dung hp ng v c quan ti phn ch can thip khi cc bn c s vi phm nguyn tc thin ch, hp tc. y l nhng kinh nghim qu bu ng c lu v cn nhc khi a ra cc kin ngh php in ha iu khon sa i hp ng khi hon cnh thay i hardship vo trong lut thc nh Vit Nam hin hnh. 5.3. THC TRNG PHP LUT V THC TIN PHP L VIT NAM V IU KHON SA I HP NG KHI HON CNH THAY I 5.3.1. Thc trng cc qui nh ca php lut Vit Nam hin hnh v iu khon sa i hp ng khi hon cnh thay i - hardship 5.3.1.1. Qui nh trong php lut Vit Nam trc 1975 Vit Nam trc 1975, php lut thc nh cng nhn nguyn tc cc hp c phi c thi hnh vi s thnh [13, khon 3 iu 673; 91, khon 3 iu 713]. Theo GS. V Vn Mu, mt s thi hnh thnh khng th no tri vi s cng bng. Bi vy, khi s thi hnh qu li cho ngi tri ch v qu thua thit cho ngi ph tri, s thi hnh y tri vi s cng bng, v khng thnh . Da theo nguyn tc ny, thm phn c quyn can thip vo hp ng nu cc tha thun l khng cng bng, gy ra s bt li qu ng cho mt bn. Nhng GS. V Vn Mu cng cho rng, hiu v gii thch qu rng ri cc iu khon trn y l mt sai lm. Th nn, trong bn n ngy 27/12/1946, Ta Thng thm Si Gn khng chp nhn s thay i hiu lc hp ng ch v bn c ngha v lm vo hon cnh kh khn do xut hin s kin khng lng trc c: mc d nh thu phi thi hnh kh c thu khon trong nhng iu kin tn km hn v gi vt liu do tnh trng chin tranh tng hn 300%, cc thm phn cng khng th thay i kh c. [168, tr.250 & 254]. iu ny cho thy, theo lut thc nh Vit Nam thi by gi, ta n c th cho php cc bn iu chnh hp ng khi gp kh khn c bit, nhng n l khng chp nhn gii php ny.

172 5.3.1.2. Qui nh v hardship trong php lut thc nh Vit Nam hin hnh Trong qui nh chung ca php lut hp ng Vit Nam hin hnh, iu khon hardship qui nh vic m phn li hp ng khi hon cnh thay i lm mt cn bng kinh t nghim trng gia cc bn, vn cha c chp nhn. Nhn chung, khi nim hardship cha c bit n nhiu trong thc tin php l Vit Nam hin nay. Trong cc vn bn php lut chuyn ngnh v trong cc chnh sch iu hnh ca Chnh ph, iu khon hardship cng c cp n mt mc nht nh. C th k n mt s qui nh c th trong mt vi lnh vc sau y: Trong lnh vc hp ng bo him: Khon 1 iu 20 Lut Kinh doanh bo him 2000 qui nh: Khi c s thay i nhng yu t lm c s tnh ph bo him, dn n gim cc ri ro c bo him th bn mua bo him c quyn yu cu doanh nghip bo him gim ph bo him cho thi gian cn li ca hp ng bo him. Trong trng hp doanh nghip bo him khng chp nhn gim ph bo him th bn mua bo him c quyn n phng nh ch thc hin hp ng bo him, nhng phi thng bo ngay bng vn bn cho doanh nghip bo him. V theo khon 2 iu 20 Lut Kinh doanh bo him 2000 th: Khi c s thay i nhng yu t lm c s tnh ph bo him, dn n tng cc ri ro c bo him th doanh nghip bo him c quyn tnh li ph bo him cho thi gian cn li ca hp ng bo him. Trong trng hp bn mua bo him khng chp nhn tng ph bo him th doanh nghip bo him c quyn n phng nh ch thc hin hp ng bo him, nhng phi thng bo ngay bng vn bn cho bn mua bo him. Theo , php lut kinh doanh bo him qui nh minh th cho php cc bn c th yu cu bn kia iu chnh li ph bo him khi xy ra nhng bin c lm tng, hoc gim mc ri ro ca i tng c bo him. Trong lnh vc xy dng c bn v lnh vc u thu: Php lut v xy dng c bn cho php iu chnh gi trong hp ng xy dng hnh thc gi c nh v hnh thc gi trn gi do gi vt liu xy dng bin ng ngoi kh nng kim sot ca ch u t v nh thu..22

22

Xem Ngh nh 99/2007/N-CP ngy 13/6/2007 ca Chnh ph v qun l chi ph u t xy dng cng trnh v Thng t 05/2008/TT-BXD ngy 22/02/2008 ca B Xy dng hng dn iu chnh gi v hp ng xy dng do bin ng gi nguyn liu, nhin liu v vt t xy dng.

173 Lut u thu 2005 cng cho php cc bn c tha thun iu chnh hp ng(m ch yu l iu chnh v gi hp ng) khi c nhng thay i ca nh nc v chnh sch tin lng, chnh sch gi cc mt hng do nh nc kim sot gi. Theo , 3 cn c lm pht sinh vic iu chnh hp ng l: Nh nc thay i chnh sch v thu, tin lng nh hng trc tip n gi hp ng; khi lng, s lng tng hoc gim trong qu trnh thc hin hp ng nhng trong phm vi ca h s mi thu v khng do li ca nh thu gy ra; gi nhin liu, vt t, thit b nu trong hp ng do Nh nc kim sot c bin ng ln nh hng trc tip n vic thc hin hp ng (cc im a, b, c khon 1 iu 57). iu kin v th tc iu chnh gi hp ng l vic iu chnh hp ng ch p dng trong thi gian thc hin hp ng theo hp ng k v phi c ngi c thm quyn xem xt, quyt nh(khon 2 iu 57). Hu qu ca vic tha thun khng thnh: Trng hp tho thun khng thnh th ni dung cng vic pht sinh hnh thnh mt gi thu mi v tin hnh la chn nh thu theo qui nh ca Lut u thu 2005 (k .3 iu 57). Trong lnh vc hp ng mua ha gi nh ca nh nc: chnh ph cho php iu chnh phng thc thanh ton tin mua nh thuc quyn s hu nh nc bng vng sang thanh ton bng tin, khi gi vng tng t bin. Theo khon 2 iu 9 Ngh nh 61/CP ngy 5/7/1994 ca Chnh ph, bn mua nh ca nh nc phi tr tin mua nh theo phng thc tr trc 20% tr gi nh bng tin, s cn li tr bng vng, nhng khng qu 10 nm: Thi hn thanh ton khng qu 10 nm. Mc tr ln u khi k kt hp ng khng di 20% tng s tin phi tr, s tin cn li qui ra vng 98% lm cn c thanh ton cc ln sau v mi nm tip theo phi tr khng di 8% tng s tin phi tr. Nu tr ht mt ln ngay khi k kt hp ng th c gim 10%, nu tr trong thi hn 1 nm th dc gim 2% gi bn. Nhng do gi vng tng t bin t hn 8 triu ng/lng (vo gia nm 2004) ln n gn 11 triu ng/lng (vo u nm 2005) [64] [293], nn Chnh ph ban hnh Ngh quyt 23/2006/NQ-CP, cho php cc c nhn cha tr xong tin mua nh, th c tr bng tin ng Vit Nam phn cn li: T ngy Ngh quyt ny c hiu lc, ngi mua nh p dng phng thc tr dn trong 10 nm th s tin cn li c thanh ton trong mi nm tip theo bng tin ng Vit Nam (khng quy i ra vng) cng vi tin li tnh theo li sut tin gi khng k hn ca dn c ti Ngn hng Thng mi vo thi im thanh ton. Trng hp n ngy Ngh quyt ny c hiu lc m ngi mua

174 cha tr ht tin th phn cn n quy ra vng, nay c thanh ton bng tin cng vi tin li theo quy nh trn.(mc 3 Ngh quyt 23/2006/NQ-CP). Nh vy, trn phng din qun l nh nc, Chnh ph chp nhn vic iu chnh ni dung hp ng (phng thc thanh ton), khi gi vng tng ln t bin vo nm 2005. C th ni, mt mc nht nh, vic iu chnh ni dung hp ng cng c php lut chp nhn khi c nhng l do hp l v bo m s cn bng li ch ca cc bn. Tuy nhin, trn y ch l nhng qui nh chuyn bit lin quan trong cc loi hp ng c th mang tnh cht hnh chnh (xy dng c bn, u thu, mua nh ca nh nc), v vic chnh sa hp ng cng ch yu l thng qua cc th tc hnh chnh, nn khng phi l cn c chung gii quyt cc tranh chp lin quan trong cc hp ng khc. iu ny i hi cn phi c cc qui nh tng ng v c p dng chung cho cc lnh vc dn s v thng mi. Trong cc qui nh chung ca BLDS 2005: Tuy khng c khi nim tng ng vi khi nim hardship hay change of circumstances nh cc nc, nhng BLDS 2005 c qui nh v cc khi nim tr ngi khch quan, khng thc hin c ngha v nhng khng bn no c li, nguyn tc thin ch, trung thc trong giao kt v thc hin hp ng... Trong cc khi nim c nu trn, khi nim tr ngi khch quan trong BLDS 2005 c phn gn ging nh khi nim hardship ang c nghin cu. Theo qui nh ti on 2 khon 1 iu 161: Tr ngi khch quan l nhng tr ngi do hon cnh khch quan tc ng lm cho ngi c quyn, ngha v dn s khng th bit v vic quyn, li ch hp php ca mnh b xm phm hoc khng th thc hin c quyn hoc ngha v dn s ca mnh. Theo cc qui nh ny, th tr ngi khch quan cng l nhng s kin khng lng trc c m hu qu ca n l cn tr cc bn thc hin cc quyn yu cu v quyn khi kin. Tuy vy, khi nim tr ngi khch quan khng lm c s cho vic gii quyt cc tranh chp lin quan n s thay i ca hon cnh lm mt cn bng li ch cc bn trong hp ng, bi v khi nim ch nu c im rt chung v m h v tr ngi khch quan l nhng tr ngi do hon cnh khch quan tc ng, m khng ch r nhng chi tit quan trng ca iu khon hardship, nh phi c du hiu lm mt cn bng li ch, hoc do chi ph thc hin ngha v tng ln, hoc do gi tr ca

175 ngha v i tr gim xung, v cc du hiu ph tr khc nh xy ra sau khi xc lp hp ng, cc bn khng th tnh n vo lc k hp ng, khng phi l ri ro m mt bn phi gnh chu hp l Hn na, hu qu ca tr ngi khch quan khng lm cc bn chm dt hp ng, khng lm bn vi phm c min thc hin ngha v hoc cho php cc bn c iu chnh li ni dung hp ng ging nh yu cu ca iu khon hardship. Trong cc cn c lm chm dt hp ng, n phng chm dt hoc hy b hp ng c qui nh ti cc iu 423 427 BLDS 2005, khng c qui nh no iu chnh v vic sa i hay chm dt hp ng do tr ngi khch quan. Thm na, v tr ca iu lut qui nh v tr ngi khch quan l mt phn rt nh trong Chng IX ca BLDS 2005 qui nh v thi hiu khi kin. Vi ni dung, v tr, vai tr va nu, khi nim tr ngi khch quan kh c th c s dng ging nh khi nim hardship lm cn c cho vic m phn li hp ng. Khi nim khng thc hin c ngha v nhng khng bn no c li c qui nh ti iu 418: Trong hp ng song v, nu mt bn khng thc hin c ngha v m cc bn u khng c li th bn khng thc hin c ngha v khng c quyn yu cu bn kia thc hin ngha v i vi mnh. Trng hp mt bn thc hin c mt phn ngha v th c quyn yu cu bn kia thc hin phn ngha v tng ng i vi mnh. Ni dung ny ch yu qui nh v kh nng ng x ca cc bn trong hp ng song v, khi cc bn khng th thc hin c hp ng nhng khng bn no c li. So vi BLDS 1995, y l mt iu lut hon ton mi. Tuy vy, ni dung iu lut ny cn na vi v cha gii quyt trit cc vn c lin quan, nh hu qu ca vic khng thc hin c hp ng nhng khng do bn no c li s c gii quyt nh th no: Bn khng thc hin hp ng c phi chu hu qu bt li g khng (?) Vic khng thc hin ny c s khc bit v lin quan g vi trng hp bt kh khng (?); hoc do li ca ngi th ba v hai trng hp ny u khng c li ca cc bn (?). V d: trong v sp cu Bn Lc (Long An) vo ngy 06/01/2000, lm rt nhiu hp ng mua bn hng ha, hp ng vn chuyn ti sn t Min Ty ln thnh ph H Ch Minh b gin on, thm ch khng th thc hin c do xe ch hng khng th vt qua cu Bn Lc trong my ngy lin. Phi vi ngy sau s c, lc lng cng binh mi lm cu phao tm cho cc loi xe thuc nhm u tin qua sng. Trong v ny, nguyn nhn sp cu gy ra s cn tr thc hin hp ng khng phi

176 do li ca cc bn, v cng khng phi l s kin bt kh khng, m do li ca ngi th ba gy ra (ngi li x lan ng gt lm x lan m vo tr cu). y, nu v vic ni trn xy ra sau nm 2006 v c tranh chp v vic cn tr thc hin hp ng, th liu chng ta c th p dng qui nh ti iu 418 ni trn gii quyt (?). Quan im ca tc gi cho rng, nu xy ra sau 2006, th v vic trn c th p dng iu 418 BLDS 2005 gii quyt. Tuy vy, v iu 418 BLDS 2005 va nu hon ton khng ni v trch nhim ca cc bn khi khng thc hin hp ng. iu 306 BLDS 2005 ch min trch nhim khi mt bn vi phm l do nguyn nhn bt kh khng. Nhng nh va phn tch, v vic trn khng phi l s kin bt kh khng; do , gi s c s tranh chp v vic khng thc hin hp ng, th bn khng thc hin hp ng s khng c min trch nhim. Tuy nhin, bn vi phm phi chu trch nhim g, th iu 418 cng khng th hin r. V vy, iu 418 ni trn khng phi l cn c thch hp gii quyt vn hardship ang c xem xt. Mt cn c quan trng c th c vn dng gii quyt vn hardship l nguyn tc T nguyn, bnh ng, thin ch, hp tc, trung thc v ngay thng trong giao kt hp ng (khon 2 iu 389), v nguyn tc trung thc, theo tinh thn hp tc v c li nht cho cc bn, bo m tin cy ln nhau trong thc hin hp ng (khon 2 iu 412). Ni dung c bn ca nguyn tc ny i hi cc bn tham gia hp ng phi c thi hp tc, thin ch, v trung thc trong vic giao kt, thc hin hp ng. S trung thc, thin ch i hi cc bn phi cng nhau hp tc gii quyt nhng kh khn pht sinh trong qu trnh thc hin hp ng, trn c s cng bng, c li nht cho cc bn. Xt v bn cht th nguyn tc ny rt ph hp cho vic gii thch v p dng trong trng hp hon cnh thay i dn n lm mt cn bng li ch cho cc bn. mt vi nc nh c (xem cc iu 313 v iu 242 BGB), (xem cc iu 1467 1469 BLDS ), thm phn c th vn dng tinh thn ca nguyn tc ny x l vn hardship, v thc ra, mt trong nhng nn tng l thuyt c bn ca hardship cng chnh l s thin ch v hp tc. V th, ni dung ca iu khon hardship cc quc gia ny ging nh l s gii thch m rng ca nguyn tc thin ch, trung thc. Nhng iu ny s rt kh p dng Vit Nam v qui nh ny cng ch l nguyn tc chung, ni dung ca n cha tht r rng v c th c th vn dng trc tip vo vic gii quyt vn iu chnh ni dung hp ng. Hn na, nguyn tc

177 chung khng phi lc no cng c th hon ton thay th c cc qui nh c th. Bi l, t nguyn tc chung n cc iu lut c th l mt khong cch.V t nguyn tc n thc tin p dng php lut cn l khong cch xa hn, nht l trong bi cnh Vit Nam, khi m thi quen dn chiu [201, tr.18-24] vn cn c coi trng v thm phn khng phi l ch th c quyn sng to php lut, thm ch khng c thm quyn gii thch php lut. Vit Nam, ch c y ban Thng v Quc hi mi c thm quyn gii thch php lut.23 y khng ch l mt tr ngi cho vic p dng cc nguyn tc php lut khi xt x (c bit l trong lnh vc xt x tranh chp dn s - loi quan h php lut rt a dng v phc tp m iu chnh ca php lut khng phi lc no cng y v pht trin kp vi yu cu thc t), m cn l mt ro cn rt ln cho qu trnh ci cch t php Vit Nam. tinh thn ca nguyn tc trung thc, thin ch v hp tc c pht huy v c vn dng ng n khi gii quyt vn lin quan ti hardship, khng cn cch no khc l ni dung ca n phi c c th ha thnh nhng iu lut, vi ni dung qui nh minh th v vn ny. Tm li, gii php cho php cc bn iu chnh li ni dung ca hp ng khi hon cnh thay i c cp trong mt s qui nh ca php lut chuyn ngnh iu chnh vic thc hin mt s loi hp ng chuyn bit, c th. Tuy vy, ni dung ny khng c qui nh trong BLDS 2005. S b ng iu khon ny trong BLDS 2005 chc chn s gy ra kh khn nht nh cho ta n trong vic gii quyt cc tranh chp c lin quan pht sinh trong thc tin cuc sng. 5.3.2. Thc tin php l lin quan ti iu khon iu chnh ni dung hp ng do hon cnh thay i Thc tin php l Vit Nam tng pht sinh nhiu v tranh chp c lin quan ti yu cu cn p dng iu khon iu chnh ni dung hp ng khi hon cnh thay i. Nhng do php lut hin hnh cha qui nh v iu khon ny, nn gy nhiu kh khn cho cc bn lin quan trong vic gii quyt tranh chp. Sau y l mt s v tranh chp c lin quan n vic thay i hon cnh nh hng n vic thc hin hp ng v lm cho cc bn lin quan, cc nh t vn v c ta n tr nn lng tng: 5.3.2.1. Thiu cn c xc nh hon cnh thay i v yu cu m phn li hp ng

Theo iu 91 (3) Hin php 1992 (sa i, sung bi Ngh quyt 51/2001/QH10), thm quyn gii thch Hin php, lut, php lnh thuc v y ban Thng v Quc hi.

23

178 Hai v n sau y phn nh thc trng thiu cn c php l xc nh nhng tranh chp thc t c thuc trng hp hon cnh thay i hay khng, v bn b thit hi c th yu cu ta n buc i tc m phn li hp ng hay khng. V th nht: Thng 11/2007, b Trng Th H. (ng Nai) k hp ng mua mt t ti ca Cng ty T., vi gi gn 120 triu ng. Theo tha thun, b H. phi t cc s tin 20 triu ng (s trn), v cng ty s giao xe vo cui thng 4/2008. n hn, cng ty mi b H. n nhn xe nhng i tng gi xe ln thm hn 30 triu ng so vi gi ban u. B H. khng chp nhn v khi kin cng ty ra ta i cng ty giao xe theo ng gi ghi trong hp ng. Theo ngi i din cng ty: Cng ty c cam kt khng tng gi xe nhng n thi im giao xe th nh nc p dng qun l kh thi xe theo quy chun mi nn cng ty buc phi iu chnh gi xe. Nu b H. khng chu nhn xe gi cao hn v cht lng tt hn, cng ty sn sng tr li tin cc cng li sut ngn hng i vi s tin m b H. np cho cng ty. Theo Lut s Nguyn Vn H., cng ty c trch nhim bn xe cho b H. theo ng gi tha thun trong hp ng. Nhng l do nu ra nh ngun xe ca cng ty b ct, nh nc qun l kh thi xe theo quy chun mi ti thi im giao xe ch l nhng vng mc ca cng ty, khng phi l trng hp bt kh khng hoc tr ngi khch quan cng ty c quyn giao xe chm v tng gi xe [63]. Nhn xt: 1. C bn mua v lut s u cho rng, bn bn phi c trch nhim thc hin ng hp ng, v y khng c s kin bt kh khng hoc tr ngi khch quan. Tuy khng xc nh y c phi s kin bt kh khng hay tr ngi khch quan, nhng quan im ca bn bn l trong trng hp ny, bn mua phi chu khon chi ph tng ln.Vn t ra: l khi nh nc a ra qui nh mi v tiu chun kh thi dn n vic thay i, lm gi thnh ca xe tng ln c phi l s kin bt kh khng hoc tr ngi khch quan hay khng (?). Tht ra, ni y l s kin bt kh khng hay tr ngi khch quan u thiu cn c php l thch hp, bi l vic nh nc qui nh tiu chun kh thi mi khng phi l vic c th lm cho hp ng mua bn xe tr nn khng th thc hin c. Nn nu bn bn ly l do ny t chi thc hin hp ng l khng thuyt phc. 2. Vic nh nc ra vn bn qui nh tiu chun kh thi mi, sau khi hp ng mua bn xe gia cc bn c k kt, l ngoi d kin ca cc bn, v trn thc t chi

179 ph sn xut tng l mt thc t khch quan m cc bn khng lng trc c vo thi im k hp ng. iu ny lm cho bn mua nhn c li ch v bn bn b thit hi. Nu bit c s kin trn, c th bn bn xe khng k hp ng vi gi nh nu trong hp ng. Trong trng hp ny, vn s c gii quyt hp l nu p dng nguyn tc thin ch; theo th bn mua phi chia s chi ph tng ln cng vi bn bn. Bi l, khi bn bn giao xe cho bn mua theo tiu chun mi, th bn mua cng nhn c nhng li ch nht nh do cht lng xe tng ln so vi cam kt ban u, v iu ny cng c li cho x hi. 3. C th c bn mua v bn bn u khng mun chm dt hp ng. Do , vic tha thun li gi hp ng c thc hin tip tc s c li v ph hp vi nguyn vng ca c hai bn. Nhng c ta n v cc bn s khng c cn c yu cu mt hoc c hai bn phi lm iu . c cn c gii quyt v vic ny, i hi php lut cn phi c nhng qui nh c th v ngha v m phn li hp ng khi hon cnh thay i lm mt cn bng li ch, m cc bn khng th lng trc v cc bn u khng c li. V th hai: tranh chp gia nguyn n l VINAWACO, kin b n l MSC: Nm 1995, b n k hp ng thu nguyn n o mt lung tu v mt vng quay tu ti d n xy dng nh my xi-mng Sao Mai Hn Chng, Kin Giang. Sau , c s cho php ca b n, nguyn n k hp ng thu ph vi DI thc hin hp ng ny. Thc t khi thc hin hp ng, h thng no vt lung gp s tr ngi, hao mn nng cho my mc v ng ng dn cng nh gim nng sut thi cng. Nguyn n v DI phi thu v mua sm thm cc thit b mi, chuyn dng hn tip tc thc hin hp ng, nn lm pht sinh chi ph tng thm so vi cam kt ban u trong hp ng, vi s tin l 2.866.650 USD. V th, nguyn n gi khiu ni cho b n i khon tin tng thm ny, nhng b n khng phn i. Sau , nguyn n v DI k vn kin tha thun tng gi thnh thi cng, trc s chng kin v ng ca i din ca b n. Sau khi thc hin xong hp ng, nguyn n yu cu b n thanh ton chi ph pht sinh da trn kt qu gim nh ca mt bn th ba c lp, nhng b n t chi. Nguyn n khi kin b n ra ta i khon tin ni trn. V kin ko di hn 12 nm [76] v phin x gim c thm ca HTP l phin ta th 7 (Xem Ph lc s 07).

180 X s thm ln th nht, TAND Tp. H Ch Minh chp nhn yu cu ca nguyn n. Sau Ta Phc thm TAND TC ti Tp. H Ch Minh x hy n theo hng khng cng nhn quyn yu cu ca nguyn n. S thm tip theo, TAND Tp. H Ch Minh x khng cng nhn b n c ngha v thanh ton khon tin tng thm... n phin x phc thm (phin x ln th su) ca Ta Phc thm - TAND TC ti Tp. H Ch Minh vn tuyn b n khng c ngha v thanh ton cho nguyn n khon tin ni trn, v y l tha thun ring ca nguyn n vi DI; b n khng c trch nhim g. Hn na, vic nguyn n v DI t yu cu gim nh vin c lp l do cc bn ny n phng t chc gim nh mt cch khng khch quan v s dng kt qu ny lm chng c chng minh cho yu cu ca mnh. Hin ti, ta n cng khng th trng cu gim nh v hin trng khng cn nguyn trng (Bn n Phc thm s 04/2007/KDTM PT ngy 17/01/2007 Ta Phc thm TAND TC ti Tp. H Ch Minh). Trong Quyt nh s 07/2008/Q-GT ngy 20/6/2008, cp gim c thm cho rng, vic Vinawaco v DI lp vn kin tha thun li gi c hp ng vi s chng kin v k tn xc nhn ca i din MSC l vn kin ba bn c hiu lc, lm pht sinh quyn v ngha v ca cc bn. T , cp gim c thm hy cc bn n ca cp s thm v phc thm tr h s v TAND Tp. H Ch Minh x li s thm theo th tc chung, theo hng: b n phi c trch nhim thanh ton cho nguyn n v DI khon tin tng thm so vi tha thun ban u ca hp ng ni trn. Nhn xt: 1. y l tranh chp v khon tin v chi ph tng thm so vi cam kt ban u trong hp ng, do hon cnh kh khn khch quan m cc bn khng lng trc c. iu th v l vn ny tuy khng c qui nh c th trong php lut Vit Nam hin hnh, nhng ta n vn c gng tm nhng cn c thch hp gii quyt v quan im ca cc cp ta n, cng nh ca cc bn l khng c s thng nht ngay t u. 2. Qu trnh thc hin hp ng pht sinh kh khn khch quan khng lng trc c. Nguyn n ng khi gi vn bn khiu ni yu cu b n thng lng li hp ng (tng gi hp l) nguyn n b p nhng thit hi tng thm do hon cnh khch quan mang li. Vn t ra l, bn n s thm ln th hai tr i n bn n phc thm ln ba (phin xt x ln th su), ta n v c pha b n u nht tr khng coi y l ngha v ca b n, v khng c c s php l no qui nh ngha v

181 ny. Nhng nu xem iu l bnh thng, th r rng gy ra s bt cng i vi nguyn n v s kh khn ny tuy khng do li ca cc bn, nhng l s vic nm ngoi d liu ca hp ng, m nguyn n hon ton c th tuyn b chm dt hp ng ngay ti thi im gp s c ngoi mun. iu ny s gy kh khn bt li cho c hai bn, v nu vn mun thc hin cng trnh, b n va phi tr tin cho phn vic m nguyn n thc hin, v cn phi k hp ng mi vi nh thu khc lm li t u. Hn na, nu bc b quyn yu cu c thng lng li hp ng cng nh bc b ton b khon tin tng thm, th cng c th b xem l vi phm nguyn tc trung thc, thin ch v hp tc trong vic thc hin hp ng. 3. Nhng theo quan im ca cp gim c thm, th vic buc b n phi thng lng li ni dung hp ng, ng thi cng phi chu trch nhim v hu qu do chi ph ca hp ng tng ln, th c th ni l cha c cn c php l. Mc d tha nhn Quyt nh gim c thm hay, c tnh, nhng li thiu cn c php l thuyt phc, v vn ny hin vn cha c php lut qui nh r rng. 4. Vn t ra l, nu ngay t u b n vn mt mc t chi vic thng lng li hp ng, th liu nguyn n c quyn yu cu ta n buc b n phi ngi vo bn thng lng li hp ng c hay khng (?); v nu sau khi yu cu ny c ta n chp nhn, nhng pha b n vn khng chp hnh th liu ch ti tip theo i vi b n l g (?). y l nhng cu hi m qui nh php lut Vit Nam hin hnh vn cha c cu tr li tha ng. iu ny ni ln s thiu st ca php lut v rt cn phi c nghin cu, b sung. Tuy nhin, trong thc tin xt x, HTP - TANDTC cng tng c phn quyt tng t. V th ba: Nm 2004, Cng ty TNHH i Vit Hng (vit tt l bn A) thu Cng ty TNHH Xy dng Song Hui (vit tt l B) k hp ng giao thu trn gi thit k v xy dng cng trnh nh xng, gm c th tc xin giy php xy dng, giy php s dng cng trnh, vi gi tr 15.9 t ng (bao trn gi, bao gm thu). Bn B lm xong hn 95% cc hng mc cng trnh, nhng bn A chm thanh ton, nn B nh ch vic thi cng. Cc bn lp Bin bn bn giao v xc nhn gi thnh thc t ca cng trnh. Trong qu trnh thi cng, B gp nhiu kh khn do khng tin lng c nhng kh khn v a cht, chi ph vn chuyn, gi nguyn vt liu tng t bin nn lm gi thnh tng ln thm 5.111.499.565 ng. Bn B i bn A thanh ton, nhng bn A khng ng v cho rng khon tin tng ln khng thuc

182 trch nhim ca bn A, nn bn B kin bn A ra ta. C ta s thm, phc thm v cp Gim c thm u chp nhn yu cu ca nguyn n (bn B) v buc b n (bn A) phi thanh ton cho nguyn n khong chi ph tng ln thm. L do chp nhn: khon chi ph tng ln m bn B a ra l c c s chp nhn v bn A khng phn i khi k Bin bn nghim thu cng trnh.24 Nh vy, phi chng quan im ca HTP trong v n ny l to ra mt tin l cho php cc bn c yu cu bn kia thng lng li gi c ca hp ng khi c hon cnh thay i dn n vic gia tng chi ph cao hn trong qu trnh thc hin hp ng. D sao, y cng c th c xem nh nhng tn hiu lc quan t thc tin xut sa i, b sung cc qui nh php lut c lin quan. 3.2.2. Xc nh tr ngi khch quan cho php bn b thit hi c hy hp ng l cha thuyt phc Trong nhiu tranh chp v hp ng mua bn nh - t, ta xem vic nh t b gii ta sau khi cc bn k hp ng mua bn l tr ngi khch quan, lm cn c cho cc bn hy b hp ng. C th thy quan im ny qua cc v vic c th sau y. V d: Theo Bn n s 613/2007/DS-ST ngy 13/6/2007 ca TAND Tp. H Ch Minh, nguyn n k hp ng nhn sang nhng quyn s dng t t b n lm nn xy nh . Hp ng ang c thc hin th nguyn n mi bit khu t ny va c cp c thm quyn ra quyt nh gii ta (quyt nh gii ta c sau thi im k hp ng). C quan c thm quyn c vn bn tr li r l: nu b gii ta th din tch t s khng chun cp php xy dng nh .25 (Xem Phc lc s 8). Tng t, trong Bn n s 1132/2006/DS-PT ngy 09/11/2006 ca TAND Tp. H Ch Minh v hp ng mua bn nh (Xem Ph lc s 9) v v Tranh chp Hp ng chuyn nhng quyn s dng t ti Bn n s 412/DS-PT ngy 15/3/2003 ca TAND Thnh ph H Ch Minh (Xem Ph lc s 10).

Xem Bn n s thm s 04/2006/KDTM-ST ngy 31/8/2006 ca TAND tnh Sc Trng, Bn n phc thm s 119/2006/KDTM-PT ngy 29/12/2006 ca Ta Phc thm TAND TC ti Tp. HCM, Quyt nh Gim c thm s 09/2007/KDTM-GT ngy 04/10/2007 ca Hi ng thm phn TAND Ti cao. 25 Theo qui nh ti iu 6 khon 1 Quyt nh s 135/2007/Q-UBND ngy 08/12/2007 ca UBND Tp. H Ch Minh Ban hnh Quy nh v kin trc nh lin k trong khu th hin hu trn a bn Tp. H Ch Minh, th din tch t ti thiu c cp php xy dng mi nh l 36 m2, chiu rng mt tin v chiu su so vi ch gii xy dng khng nh hn 3,0 m

24

183 Nhn xt: 1. Nhng tranh chp loi ny khng phi l him gp trong thc tin qui hoch th ti Tp. H Ch Minh. Ba trng hp nu trn c th xem l thc t in hnh. Trong c ba trng hp, ta n u xc nh cho php bn mua c hy b hp ng, v cho rng y l tr ngi khch quan, hoc l nguyn nhn khch quan c hai bn u khng lng trc c khi giao kt hp ng. Thit ngh nhn nh ny l thiu c s. Bi l, theo qui nh ti iu 425 BLDS 2005, bn mua mun hy hp ng th phi chng minh c l c s vi phm ca bn bn, v s vi phm l iu kin hy b hp ng. Nhng s kin tr ngi khch quan trong trng hp ny khng c d liu trong hp ng ni trn, cng nh trong lut thc nh. Nh vy, vic ta n cho php bn mua da vo l do nh, t b qui hoch hy b hp ng l cha thuyt phc. 2. Trong cc qui nh khc v vic chm dt hp ng hoc chm dt ngha v, khng c qui nh no xc nh ngha v hoc hp ng c th chm dt l do tr ngi khch quan, m ch c trng hp min trch nhim dn s do s kin bt kh khng (khon 2 iu 302 BLDS 2005). Do , vic ta n da vo cn c tr ngi khch quan cho bn mua hy b hp ng, cng l khng ng. 3. y, c th p dng cn c chm dt hp ng do i tng ca hp ng khng cn (khon 5 iu 424 BLDS 2005) v qui nh v chuyn quyn s hu v chuyn ri ro trong hp ng mua bn (iu 439 & iu 440 BLDS 2005) th hp l hn. Bi v: (i) trong cc trng hp trn, cc bn u cha chuyn quyn s hu v quyn s dng t t bn bn sang cho bn mua. Do , theo iu 440 BLDS 2005, th bn bn vn phi l bn phi chu ri ro i vi vt bn (nh, t); v (ii) trong trng hp ny, bn bn cng khng c li lm cho i tng hp ng b tiu hy, nn hp ng chm dt theo khon 5 iu 424 BLDS 2005, cc bn hon tr li cho nhau nh ban u, v hp ng chm dt. 4. Nhng vn t ra l, nu nh, t b c quan c thm quyn a vo din qui hoch mt phn, hoc ch qui hoch gii hn mt s tiu chun v chiu cao, hoc tng hm, hoc gii hn mc ch s dng (v d: khng cho s dng li theo mc ch ban u ca ta nh nh khng cho tip tc m rng v ng k li qun bia, qun Karaok, Casino) th vn s tr nn kh gii quyt hn. V d: A bn cho B mt cn nh din tch 250m2 B ci to li v xy thnh mt khch sn 20 tng ti y.

184 Nhng sau khi k hp ng v trc khi giao cn nh, quyn s dng t t A sang cho B, c quan c thm quyn c quyt nh qui hoch v gii ta ht 2/3 cn nh, din tch cn li khng phi l 250m2, m l ch hn 80m2. Tuy i tng ca hp ng vn cn, nhng tnh trng v gi tr ca i tng hp ng b gim i ng k. Nh vy, liu ta n c cn c c th a ra phn quyt nh cc tranh chp trong ba v n va nu trn hay khng? V nu B vn c mun mua l t , nhng yu cu A thng lng li gi c, th c cn c hay khng? Thit ngh, y l nhng cu hi kh tr li, nu ch cn c vo cc qui nh hin hnh. 5.3.2.3. Vic thiu nhng qui nh v c ch iu chnh hp ng l mt ri ro php l i vi cc bn tham gia Trong nhiu trng hp, vic thiu cc qui nh v vic cho php cc bn c thng lng li hp ng c th l nhng ri ro php l rt nguy him cho cc bn tham gia quan h hp ng. V d: Ngn hng VP Bank v VPTU c k hp ng thu quyn s dng t thi hn 49 nm, vi s tin thu l 433 t ng. VP Bank t cc 43,3 t ng bo m thc hin hp ng ny. Sau khi k hp ng, tnh hnh kinh doanh bt ng sn Vit Nam b ng bng, gi bt ng sn b st gim nghim trng, ngun vn vay t cc ngn hng u t vo lnh vc ny b cc ngn hng tht cht. V th, VP Bank khng c kh nng thanh ton s tin thu cn li cho VPTU. Nu vi phm hp ng, VP Bank s mt 43,3 t ng. Nu hy b hp ng, VPTU c hng 43,3 t ng tin cc, nhng s b mt hng trm t ng, v nu em mnh t trn cho thu vi thi hn tng ng, th cao lm cng ch nhn c tin thu khong 300 t ng (gim 133 t ng). Bi vy, gii php tt nht cho cc bn l thng lng li ni dung hp ng. Thc t cc bn u mun lm iu , nhng li b tr ngi l khng c c ch thch hp (Xem Ph lc s 11). Nhn xt: 1. Nh kin ca S T php (Ph lc 11), cc bn trong hp ng c th tha thun li iu chnh iu khon x l tin cc v thi hn thanh ton, trn c s qui nh ti iu 423 BLDS 2005. S ch dn ny c c s thc hin. 2. Cch lm ny s khng c vn g i cc doanh nghip t nhn, nhng i vi cc doanh nghip s dng vn ca nh nc, th tha thun nh vy c th s gp phi nhng ri ro php l. Bi l, i vi cc v vic tng t, nu lm ng theo qui nh ca hp ng, trc mt s mang li li ch kh ln cho n v, nhng s gp kh

185 khn trong giao dch lm n vi i tc trong tng lai (v d b khch hng t chi k hp ng mi, khng cung ng thm hng ha, ng x theo cch c i c li). Ngc li, nu gim tin pht, gim gi trong hp ng c li cho i tc duy tr quan h lm n tt p gia cc bn (cng gi ng nguyn tc thin ch, hp tc), th ngi quyt nh tha thun li hp ng rt c th s b truy t v ti c lm tri qui nh ca Nh nc v qun l kinh t gy hu qu nghim trng, theo iu 165 B lut Hnh s 1999, vi mc n ci to khng giam gi hoc pht t t 1-5 nm nu lm thit hi cho ti sn ca nh nc n di 300 triu ng (khon 1); v cao nht c th l 20 nm t nu lm thit hi ti sn nh nc t 1 t ng tr ln (khon 3). C th ni, vic thiu c ch, th tc cn thit iu chnh ni dung hp ng trong nhiu trng hp s lm hn ch s linh hot trong hot ng sn xut kinh doanh ca cc doanh nghip, hoc n v c s dng ti sn, ngun vn ca nh nc. Bi vy, nu khng c qui nh r rng v c ch iu chnh hp ng, s gy cn tr cho vic thc hin c hiu qu cc hp ng kinh doanh thng mi lu di vi i tc. Nhng nu mc cho cc n v ny t do tha thun li hp ng th c th s dn n s lm dng lm tht thot ti sn ca nh nc, ng thi c th bn thn cc ch th trc tip ra cc quyt nh ny cng s gp nhng ri ro php l rt nguy him. iu ny i hi cn sm qui nh c ch cho php cc bn tham gia hp ng c tha thun li ni dung ca hp ng khi hon cnh c thay i, vi nhng th tc cht ch, hp l. Tm li, vn thay i hon cnh lm cho vic thc hin hp ng tr nn kh khn hn khng phi l tnh hung him gp trong thc tin php l Vit Nam. Nhng s thiu vng cc qui nh loi ny trong php lut hin hnh cho thy s phn ng qu thn trng (nu khng ni l qu chm chp) ca nh lp php Vit Nam, lm cho cc tranh chp loi ny khng c cn c php l gii quyt tha ng v cng l nguyn nhn lm cho vic quyt vn ny ca ta n hin vn cn cha nht qun. Tc gi hon ton ng vi quan im ca mt hc gi khi cho rng, s thiu st trn y c th c xem nh l mt trong nhng biu hin ca s lc hu ca php lut hp ng nc ta v khng p ng c nhu cn qun l ri ro thi nay [201, tr.22]. iu i hi chng ta cn phi khn trng hnh ng xc lp c ch gii quyt cho vn ny.

186 5.4. KIN NGH XY DNG V HON THIN CC QUI NH CA PHP LUT HIN HNH V SA I HP NG KHI HON CNH THAY I Nhng phn tch trn y v thc trng php lut v thc tin xt x tranh chp v hp ng ti Vit Nam cho thy iu khon sa i hp ng khi hon cnh thay i (hardship clause) tht s cn thit v c vai tr quan trng trong vic iu chnh cc quan h php lut c lin quan n s thay i hon cnh sau khi hp ng c k kt. Thc t i hi nh lm lut cn sm c nhng quyt nh thch hp trong vic tip thu v qui nh iu khon ny trong php lut Vit Nam. Sau y, tc gi xin xut mt s kin ngh bc u nhm gp phn thit thc vo tin trnh . 5.4.1. Cn thit phi qui nh v hardship, Vit ha khi nim ny v a n vo phn chung ca php lut v hp ng Ti bui Ta m Tng kt tnh hnh thi hnh cc qui nh v hp ng trong BLDS 2005 do B T php t chc ti H Ni vo cc ngy 28 29/7/2009, khi nim hardship c cc lut gia, nhng ngi c giao nhim v sa i BLDS 2005 v phn hp ng, quan tm v t ra [87, tr.3]. y c th c xem nh l mt tn hiu ng mng i vi tin trnh lut ha iu khon sa i hp ng khi hon cnh thay i. Nhng nh vy l cha . Vn iu chnh hp ng do hon cnh thay i ang din ra kh nhiu Vit Nam v ngy cng tr nn ph bin, nht l trong cc hp ng v xy dng, hp ng cung ng cc hng ha hoc dch v di hn, hp ng pht trin cc hot ng sn xut kinh doanh nhng ngnh ngh mi, c nhiu ri ro: nhu cu th trng thay i, kh khn c bit do iu kin s thay i ca t nhin, cng ngh, hay s mt gi trm trng ca ng tin (nh Zimbabwe va qua, Thng 3/2008, ngi ta ch mt 15 triu Zimbabwe mua 1 bnh m, th nay ngi ta mt ti 600 triu [125]), s can thip ca nh nc v tiu chun k thut mi, hoc hn ch trong chnh sch ngoi thng, tng thu, hoc tng lng ti thiu cho ngi lao ng Bi vy, yu cu ca thc tin i hi chng ta cn phi sm b sung nhng c ch php l cho php iu chnh hp ng trong trng hp thay i hon cnh dn n kh khn c bit cho vic thc hin hp ng. Nht l trong bi cnh ca ton cu ha hin nay, khi m nn kinh t bt n nhiu nc trn th gii lm gia tng nhiu trng hp khin cho cc bn khi thc hin hp ng phi theo nhng iu kin mi v thc cht m cc bn khng th lng trc c v cng khng th tr

187 tnh c vo lc k hp ng, v khi m vic tun th v iu kin nguyn tc hiu lc bt bin ca hp ng c th dn n quyt nh sai lm khin mt s ngi giu ln bng nhng tn tht phi l ca ngi khc [208, tr.19], th vic tm c ch php l thch hp gii quyt vn ny cng tr nn cch cp bch hn bao gi ht. C ch hp tc l nguyn tc quan trng ca hot ng php l thng mi gia cc bn trong hp ng, cng l nguyn tc quan trng trong vic giao kt v thc hin hp ng [Xem 15, cc khon 2 iu 389, khon 2 iu 412]. Vic chm dt hp ng khng phi lc no cng c li i vi cc bn v l iu m khng phi lc no cc bn cng mun. khng lng ph cc khon tin u t b ra cho vic thc hin hp ng trc , v t c cc li ch mong i khi hp ng hon tt, cc bn cn phi hp tc gii quyt cc kh khn, cng vt qua khng hong bng cch m phn li hp ng tm ra mt gii php tha ng cho c hai bn. Trn bnh din quc t, thm ch cn c kin xut cn a iu khon hardship trong PICC tr thnh mt phn ca B lut Dn s ton cu (The Global Code) [322, tr.20]. C s l lun cc lut gia xut iu chnh vn ny ch yu l da trn nguyn tc rebus sic stantibus - mt nguyn tc i lp vi nguyn tc pacta sunt servanda. Mt bn l nguyn tc pacta sunt servanda qui nh rng, hp ng phi c thc hin trn c s ngay tnh, ph hp vi cc iu khon trong hp ng. Mt bn l nguyn tc rebus sic stantibus, theo hp ng s c xem xt li khi c nhng thay i ln v khng lng trc c ca hon cnh [268, tr.152]. Cc lut gia cho rng, c nhiu l do chng minh s cn thit phi p dng nguyn tc rebus sic stantibus: c ch hp tc hiu qu gia cc bn, nguyn tc ngay tnh, s gii thch hp ng theo ch ban u ca cc bn khi k hp ng [268, tr.152]. Nguyn tc ngay tnh cng l mt trong nhng c s quan trng bnh vc cho vic p dng nguyn tc rebus sic stantibus. Bi l, cc bn giao kt hp ng xut pht t nn tng cn bng li ch vo thi im giao kt hp ng. Mt khi c s tc ng ca hon cnh ngoi mun, nn tng li ch cn bng ban u b ph v, dn n lm thit hi nghim trng cho mt bn hoc c th lm cho bn kia nhn c mt khon li mt cch khng cng bng. T gc gii thch ch ca cc bn trong hp ng, c th thy ngi ta thng ch k kt cc hp ng xut pht t hon cnh m h bit r. Vic cc bn khng bit tr ngi khch quan xy ra sau ngy k hp ng tuy khng phi l s giao

188 kt hp ng do nhm ln, nhng li l mt iu kin nm ngoi ch ch thc ca cc bn vo lc k hp ng. Nu bit chc chn thua thit nghim trng s xy ra, cc bn khng k hp ng, hoc k hp ng vi nhng iu kin khc thch hp. Nh vy, hp ng c t di iu khon ngm nh l rebus sic stantibus. [268, tr.153]. Nhng lp lun trn cho thy, nguyn tc rebus sic stantibus v hardship c th c xem nh l iu khon ngm nh (hay iu khon thng thng) ca hp ng. Vic p dng nguyn tc rebus sic stantibus khng nhng khng mu thun [268, tr.152] m cn l mt phng thc b sung v m bo thc hin tt nguyn tc hiu lc bt bin ca hp ng - pacta sunt servanda. Mt khc, c ch qun l hp ng v qun l ri ro hin i i hi nh lm lut v cc bn lin quan cn phi nhn nhn hp ng khng phi l mt gi tr bt bin m n l mt cng c linh hot, uyn chuyn. Qu trnh thc hin hp ng c th pht sinh nhng tnh tit m cc bn cn phi xem xt. [81, tr.19]. V vy, vic a cc qui nh v hardship vo phn qui nh chung trong php lut hp ng ca Vit Nam cng rt cn thit v ph hp vi xu hng quc t hin nay. T nhng phn tch trn, c th xut vic tip nhn thn trng v c chn lc cc qui nh v hardship t php lut ca cc nc v cc b nguyn tc quc t v hp ng a vo qui nh phn chung v hp ng trong BLDS 2005. Tuy nhin, nu gi nguyn thut ng hardship a vo lut Vit Nam l cha thuyt phc. Bi vy, cn Vit ha khi nim cho ph hp vi hon cnh ca lut Vit Nam. Thc t, bn cnh khi nim bt kh khng, BLDS 2005 cn c mt khi nim kh gn vi hardship c qui nh trong phn thi hiu khi nim tr ngi khch quan. Theo , Tr ngi khch quan l nhng tr ngi do hon cnh khch quan tc ng lm cho ngi c quyn, ngha v dn s khng th bit v vic quyn, li ch hp php ca mnh b xm phm hoc khng th thc hin c quyn hoc ngha v dn s ca mnh (on 2 khon 1 iu 161). Tuy vy, ni hm ca khi nim tr ngi khch quan c th hin trong nh ngha ny cha tng ng vi ni hm ca khi nim hardship ang c cp, nn vic s dng khi nim tr ngi khch quan l khng ph hp. c th chn mt thut ng thch hp cho trng hp ny, cn xut pht t b cc hin hu ca BLDS 2005 v v tr d kin m iu khon ny c b tr. Mc

189 ch c bn ca qui nh v iu khon ny l lm thay i hiu lc thc hin hp ng, m hu qu ca n c th lm cho hp ng b iu chnh v ni dung hoc lm hp ng chm dt, nn v tr thch hp nht b tr iu khon ny l tit III, mc 7, chng XVII, Phn th ba BLDS 2005: III - SA I, CHM DT HP NG DN S. Tn gi ca iu khon ny nn l Sa i hp ng dn s khi hon cnh thay i. V tr c th ca iu khon ny c th l iu 423a, v nn t ngay sau iu 423 BLDS 2005 hin hnh. m bo tnh l gch gia hai qui nh ny, tiu ca iu 423 cn sa li l Sa i hp ng dn s theo tha thun. Ngoi ra, qui nh v iu khon ny cng cn phi c t trong mi quan h bin chng vi cc iu khon khc nh iu 405 (v thi im c hiu lc ca hp ng), v iu 424 (v cn c lm chm dt hp ng). Mc ch ca vic ny nhm th hin r quan im xem y ch l mt ngoi l ca nguyn tc hiu lc bt bin ca hp ng, v iu khon mi b sung ny s b hn ch p dng. Cc ni dung ny c c im tng t nh ni dung c qui nh ti iu 6.2.2. PICC:
Hon cnh hardship c xc lp khi xy ra cc s kin lm thay i c bn s cn bng gia cc ngha v hp ng, hoc do chi ph thc hin ngha v tng ln, hoc do gi tr ca ngha v i tr gim xung, v: a) cc s kin ny xy ra hoc c bn b thit hi bit n sau khi giao kt hp ng; b) bn b bt li khng th tnh mt cch hp l n cc s kin khi giao kt hp ng; c) cc s kin ny nm ngoi s kim sot ca bn b bt li; v d) ri ro v cc s kin ny khng c bn b bt li gnh chu.

Thit ngh, qui nh ca iu 6.2.2. PICC cn c tip thu v chnh sa li cho r rng hn v ph hp hn vi hon cnh p dng ti Vit Nam. C th, ni dung ca khi nim hardship tng ng vi khi nim Sa i hp ng (dn s) khi hon cnh thay i, v c thit k thnh khon 1 iu 423a (mi) nh sau (nhng t in m - nghing l phn ni dung mi c tc gi xut sa i, b sung): iu 423a. Sa i hp ng (dn s)26 khi hon cnh thay i 1. Mt bn c quyn yu cu bn kia sa i hp ng khi xy ra s kin khch quan lm thay i c bn s cn bng gia cc ngha v hp ng, hoc do chi ph thc hin ngha v tng ln bt thng, hoc do gi tr ca khon thu nhp ng l nhn c t hp ng gim xung bt thng, tr trng hp cc bn c tha thun khc hoc php lut c qui nh khc.

Hai t dn s trong ngoc n ni trn nhm ph hp vi iu 423 BLDS 2005 hin hnh. Hai t ny c d kin s phi b i cho ph hp vi cc qui nh khc mang tnh h thng ca php lut hp ng, to s thun li cho vic p dng php lut gii quyt cc tranh chp v hp ng ni chung.

26

190 c coi l s kin khch quan nu tha mn cc iu kin sau y: - Xy ra hoc c bn b thit hi bit n sau khi giao kt hp ng, tr nhng s kin bn bit hoc ng l phi bit; - Xy ra khch quan, nm ngoi s kim sot ca bn b thit hi; - Ri ro v cc s kin ny khng thuc trng hp qui nh ti cc iu 440 BLDS 2005, iu 57 n iu 62 Lut Thng mi 2005 v cc qui nh tng t trong BLDS 2005 v Lut Thng mi 2005; c coi l bt thng nu chi ph thc hin ngha v tng ln, hoc gi tr ca khon thu nhp ng l thu c t hp ng gim xung ng k, ngoi d kin v vt ngoi phm vi ri ro v gi c theo tp qun ca lnh vc tng ng. C th ni, trong cc qui nh v hardship, th iu khon qui nh v khi nim l kh nht, v va phi m bo tnh khi qut cao, nhng va phi r rng c th p dng c vo tng trng hp c th. iu khon xut trn va khi qut c s thay i hon cnh, nhng cng va nu c nh ngha kh c th v s kin khch quan v tnh cht bt thng ca vic tng chi ph hay gim thu nhp. Vic a thm tnh cht bt thng l loi tr cc trng hp thay i gi c thng thng, trong phm vi tp qun ca lnh vc tng ng. Ni dung chnh ca iu khon cng d liu kh nng cc bn c tha thun khc hoc php lut c qui nh khc. S loi tr ny l cn thit v ph hp vi nguyn tc t do hp ng v gii hn ca nguyn tc ny. Cc bn c th loi tr p dng iu khon ny ph hp vi nguyn tc thin ch, trung thc hoc cng c th tha thun cc iu kin khc vi qui nh ny. Mt khc, qui nh nh vy cng nhm a ra qui tc p dng iu khon ny l: loi tr th khng p dng (Theo kinh nghim ca y ban Chu u trong qu trnh tho lun v xy dng Lut Hp ng Chu u, th hiu lc p dng ca vn bn php in ny c chia lm ba mc: chn th p dng, loi tr th khng p dng v p dng bt buc) [Xem thm 94, tr.62]. Theo , khi cc bn khng c tha thun trong hp ng v vic loi tr p dng iu khon ny, nu cc bn c tranh chp th iu khon ny c mc nhin p dng. Ngoi ra, c nhng loi hp ng m php lut c qui nh khc hoc minh th khng cho p dng qui nh ny, th qui nh ny cng b loi tr p dng khi gii quyt cc tranh lin quan ti loi hp ng . V d: cc hp ng hnh chnh lin quan ti mt bn l nh nc, hp ng bo him, hp ng trong lnh vc ti chnh

191 Ni dung gii thch s kin khch quan cng loi tr nhng thay i l do ri ro. C nhng trng hp nguyn nhn khch quan gy ra thit hi cho i tng ca hp ng, nh st nh chy nh, tu b bo nh chm trn ng vn chuyn lm tri mt hng ha th khng p dng qui nh v sa i hp ng dn s do hon cnh thay i c qui nh y, m s p dng cc qui nh v gii quyt ri ro c qui nh trong cc vn bn php lut tng ng. Qui nh ny c quan h bin chng vi qui nh v hiu lc ca hp ng. Bi vy, nguyn tc hiu lc bt bin ca hp ng cn phi c cao nh l nguyn tc chung, v qui nh cho php sa i hp ng trong trng hp ny phi c xem l trng hp ngoi l. Vi vai tr , iu khon ny khng b lm dng iu chnh bt hp l cc hp ng ang c hiu lc, mt mt cn qui nh nhng iu kin v th tc cht ch thc hin, mt khc cn xc nh r hiu lc bt bin ca hp ng. Do , thit ngh nn duy tr qui nh ti khon 2 ca iu 404 BLDS 1995: Hp ng ch c th b sa i hoc hy b, nu c tha thun hoc php lut c qui nh v b sung qui nh ny tr li thnh khon 2 (mi) ca iu 405 BLDS 2005 (nh xut ti mc 3.3.2 ca Lun n). C nh vy, th qui nh ca iu 423a (mi) mi m bo an ton php l cho cc bn tham gia quan h hp ng. 5.4.2. B sung qui nh v th tc yu cu bn kia sa i hp ng v thit k thnh khon 2 ca iu 423 a (mi) c c s cho bn kia xem xt thng lng li ni dung hp ng v to cn c cn thit cho vic thc hin cc th tc t php tip theo khi yu cu ny khng c p ng, lut cn qui nh v quyn ca bn b thit hi yu cu bn kia sa i hp ng. Vic ny phi c tin hnh trong nhng iu kin cht ch v thi gian, v phi c cn c c th. Ni dung ny tng t qui nh ti khon 1, khon 2 iu 6.2.3 PICC:
1. Trong trng hp hardship, bn b bt li c quyn yu cu tin hnh m phn li hp ng. Yu cu ny phi c a ra khng chm tr v phi c cn c. 2. Yu cu m phn li hp ng, bn thn n, khng cho php bn b bt li c quyn tm nh ch thc hin ngha v ca mnh.

Ngoi ra, ni dung ny c th gp li, chnh sa thch hp vi cc qui nh hin hnh ca lut Vit Nam, v thit k thnh khon 2 ca iu 423 a (mi). C th:

192 2. Quyn yu cu sa i hp ng theo khon 1 iu ny phi c bn b thit hi a ra khng chm tr v phi c cn c. Vic yu cu sa i hp ng khng cho php cc bn c n phng tm ngng thc hin, chm dt hoc hy b hp ng, tr trng hp c cn c do hp ng hoc do php lut qui nh p dng cc quyn . Vic mt bn yu cu bn kia m phn li hp ng rt c th dn ti bt ng v mi bn c th n phng ngng thc hin hp ng, chm dt hp ng hoc hy b hp ng. Nguyn tc thin ch, trung thc v hp tc cng nh nguyn tc hiu lc bt bin ca hp ng khng cho php cc bn c lm iu , tr trng hp c cn c r rng m cc bn tha thun (trong hp ng) hoc php lut c quy nh. iu ny va bo m quyn yu cu sa i hp ng ca mi bn c cn c, ng thi bo m tnh n nh v an ton php l cho cc quan h hp ng. 5.4.3. B sung qui nh v th tc yu cu ta n hoc trng ti gii quyt khi tha thun khng thnh, v thit k thnh khon 3 v khon 4 ca iu 424a (mi) C nhiu kh nng bn c ngh iu chnh, sa i hp ng khng chp nhn yu cu ny. c c ch gii quyt tranh chp v xc nh r cn c c th ta n a ra cc quyt nh hp l, lut cn qui nh r thi hn cc bn yu cu c quan c thm quyn xem xt, phn x v tnh hp php ca yu cu sa i hp ng ca bn b thit hi v l do t chi ca bn c yu cu. Qui nh ca lut cn xc nh c th thm quyn, th tc, thi hn v hu qu php l ca tnh hung ny. Ni dung ny c th tip thu qui nh tng t ti khon 3, khon 4 iu 6.2.3. PICC:
3. Nu cc bn khng tha thun c trong mt thi hn hp l th mi bn c quyn yu cu to n gii quyt. 4. Nu xc nh c hon cnh hardship v nu thy hp l, ta n c th: a. Chm dt hp ng vo ngy v theo cc iu kin do ta n quyt nh; hoc b. Sa i hp ng nhm thit lp li s cn bng gia cc ngha v hp ng.

Thit ngh qui nh ti cc khon 3 v khon 4 iu 6.2.2. PICC d liu kh hp l tnh hung ny, nn c th tip thu a vo qui nh trong BLDS 2005. Ni dung ny c th c chnh sa v thit k thnh khon 3, khon 4 iu 423a (mi): 3. Nu bn c ngh sa i hp ng t chi, hoc khng tr li, hoc cc bn khng tha thun c vic sa i hp ng trong mt thi gian hp l, th mi bn c quyn yu cu ta n hoc trng ti (nu hp ng c tha thun chn th tc trng ti) gii quyt.

193 y, ngoi trng hp khng tha thun c vic sa i hp ng, c th cn nhiu kh nng khc: bn c ngh khng tr li, hoc thm ch tr li t chi ngay lp tc. Bi vy, cn phi d liu trong iu lut nhng kh nng ny. Ngoi ra, c ch gii quyt bng th tc t tng ta n c th s mt nhiu thi gian. Hn na, php lut Vit Nam cng nh php lut hp ng quc t khng cm cc bn c chn la trng ti v th tc trng ti gii quyt tranh chp hp ng. Bi vy, cn d liu kh nng hp ng c tha thun quyn c yu cu trng ti gii quyt. V x l hu qu khi vic yu cu sa i hp ng khng thnh cng: cn cho php ta n, hoc trng ti can thip vo hiu lc hp ng bng cch quyt nh chnh sa ni dung hp ng, hoc cho php chm dt hp ng, v thit k thnh khon 4 iu 423a (mi). C th: 4. Nu ta n hoc trng ti xc nh s kin khch quan xy ra l c cn c cho php bn b thit hi c quyn yu cu sa i hp ng nh qui nh ti khon 1 iu ny, v nu thy hp l, th ta n hoc trng ti c th a ra mt trong cc quyt nh sau y: a. Sa i hp ng nhm thit lp li s cn bng gia cc ngha v hp ng; hoc b. Chm dt hp ng vo ngy v theo cc iu kin do ta n quyt nh. Bn t chi tha thun hoc vi phm tho thun tri vi nguyn tc thin ch, trung thc m gy thit hi cho bn kia th phi bi thng thit hi cho bn kia, tr trng hp cc bn c tha thun khc. Qui nh ny cho php ta n, trng ti c can thip vo hiu lc hp ng gn ging nh c ch gii thch hp ng hoc p dng nguyn tc thin ch, trung thc v hp tc v nguyn tc cng bng iu chnh ni dung hp ng. Trong trng hp xt thy khng th tip tc thc hin hp ng do tr ngi khng th vt qua hoc vic thc hin hp ng l khng cn thit, hoc cc bn u khng c nguyn vng tip tc thc hin hp ng, th ta n c th cho php cc bn chm dt hp ng ti mt thi im, v theo nhng iu kin thch hp, ng thi gii quyt hu qu php l ca n theo qui nh chung v chm dt hp ng. tng hiu qu ca qui nh v quyn yu cu sa i hp ng, on cui iu lut cn d liu c trng hp mt bn t chi m phn li hp ng tri php lut hoc tri vi nguyn tc trung thc, thin ch th phi bi thng thit hi do hnh vi gy ra, tr trng hp cc bn c tha thun khc: loi tr p dung qui nh ny hoc t tha thun chm

194 dt hp ng v t gii quyt hu qu php l ca vic chm dt ph hp vi php lut v nguyn tc thin ch, trung thc v nguyn tc cng bng. 5.4.5. Cc kin ngh khc Vic kin ngh Quc hi lut ha v b sung vo BLDS iu khon sa i hp ng khi hon cnh thay i l mt hnh trnh khng d dng, v cn phi thng qua nhiu trnh t, th tc phc tp do php lut qui nh. Trong khi ch i c s thay i t pha cc nh lp php, c l gii php hiu qu v kh thi nht l kin ngh TANDTC a iu khon ny vo trong vn bn hng dn ngnh ta n (Ngh quyt ca Hi ng thm phn) v khuyn ngh cc bn tham gia hp ng cn a cc iu khon loi ny vo cc hp ng ca mnh. 5.4.5.1. Cn a iu khon sa i hp ng khi hon cnh thay i vo vn bn hng dn p dng php lut ca ngnh ta n Suy cho cng, lut php d c hay v c kn k ti u i na m vic nhn thc v p dng khng tt th cng khng th pht huy hiu qu ca php lut. Thng qua knh thc tin xt x ca ngnh t php, nhng t tng v thnh tu nghin cu ca khoa hc php l s d dng c chp nhn v d dng c lut ha. Trong thc t, trc khi nh lm lut ban hnh cc vn bn php lut qui nh chnh thc cc ch nh ca Lut Dn s, ngnh ta n tng c nhiu vn bn hng dn ng li xt x lm cn c php l gii quyt cc tranh chp pht sinh trn thc t. Sau , cc c quan c phn cng son tho cc vn bn lut mi tng kt kinh nghim t thc tin xt x phc v cho hot ng lp php dn s. V d: trc khi ch nh quyn tha k c qui nh chnh thc trong Php lnh Tha k 1990 v BLDS 1995, th TANDTC c Thng t s 594-NCPL ngy 27/8/1968 v Thng t 81/TANDTC ngy 24/7/1981 qui nh ng li gii quyt cc tranh chp v tha k; hoc hng dn p dng cc qui nh ca php lut v mc bi thng thit hi tinh thn do tnh mng, sc khe, danh d, nhn phm, uy tn b xm phm trong Ngh quyt 01/2004/NQ-HTP ngy 24/4/2004 ca Hi ng thm phn c a vo qui nh chnh thc ti khon 2 iu 609, khon 2 iu 610 v khon 2 iu 611 BLDS 2005. Nhng v d nh vy khng him gp trong tin trnh lp php Vit Nam (v c trn th gii). Thng qua bi hc kinh nghim , trn c s ca nguyn tc thin ch, trung thc, hp tc v nguyn tc cng bng, tc gi kin ngh HTP TANDTC cn sm

195 ban hnh Ngh quyt hng dn ng li gii quyt cc tranh chp loi ny, vi nhng ni dung nh c nu trong cc kin ngh trn. Ngoi ra, thng qua vic tp hun v hi ngh bo co tng kt hng nm ca ngnh, TANDTC cn tuyn truyn, ph bin su rng v ng li ny cho cc thm phn vic nhn thc v p dng c nht qun v t hiu qu tt. Kt qu kh quan t thc tin p dng qui nh ny s l c s thc tin thuyt phc nh lm lut chp nhn v chnh thc qui nh iu khon ny trong BLDS 2005, khi BLDS ny c xem xt sa i, b sung. 5.4.5.2. Cc bn tham gia hp ng cn a iu khon sa i hp ng khi hon cnh thay i vo trong cc hp ng x l tt cc ri ro trong kinh doanh Trong bi cnh c s thay i khng ngng ca cc yu t t nhin, kinh t, x hi, k thut, thng tin, chnh sch v cc yu t khc lm cho cc quan h hp ng ngy cng gp nhiu ri ro v php lut hp ng cng lun thay i, th vic t bo v mnh bng hp ng l mt trong nhng cch thc khn ngoan ca nhng thng gia giu kinh nghim. Cn nh nm 2007, mt s t bo ly thng tin t bo nc ngoi, nhng do nhm ln trong dch thut, nn a tin n bi b ung th. Thng tin sai lch ny khin cho cc hp ng mua bn tri bi Vit Nam b nh hng, nng dn thit hi hn 50 t ng [283]. iu ny cho thy, trong iu kin hi nhp v pht trin, khi m ch cn mt thng tin tht thit cng c th gy ra nhng tn tht li ch nghim trng cho cc bn, hoc lm cn tr vic thc hin hp ng, lm tng cc nguy c gy ra tn tht cng nh cc ri ro cho cc bn trong hp ng. T , vn x l ri ro do thay i hon cnh trong quan h hp ng l nhu cu cn thit, c bit l trong cc hp ng di hn, hoc hp ng mua bn cc hng ha c lin h mt thit ti iu kin t nhin nh nh bt, nui trng thy hi sn, thu hoch t sn xut nng lm nghip (hoa, tri, rau, c, tm, c, c-ph, bng vi). Trong nhng hon cnh , cc thng gia quc t a vo hp ng ca mnh iu khon hardship nhm lm c s php l cho vic x l ri ro v gii quyt tranh chp ca cc bn khi hon cnh thay i. Thc tin thng mi ch ra c hng chc kiu iu khon loi ny c son tho [119], vi ni dung c bn l qui nh v khi nim hardship, iu kin p dng (c s thay i hon cnh ngoi mun, dn n vic thc hin hp ng sau ny tr nn c bit kh khn v tn km, lm tng chi ph rt ln i vi bn phi thc hin hp ng, hoc lm gim thu nhp

196 nghim trng cho bn kia, v lm mt cn bng li ch ca cc bn tham gia); ng thi qui nh v cch thc gii quyt hu qu ca hon cnh hardship, phng thc gii quyt tranh chp khi cc bn khng th thng lng thay i ni dung ca hp ng. y l nhng bi hc qu bu gip cho cc thng gia Vit Nam c thm kinh nghim trong vic k kt, thc hin cc hp ng, c bit l cc hp ng thng mi quc t. Trong khi ch i s hon thin ca php lut v s hon b ca ngnh t php, thit ngh cc bn tham gia hp ng Vit Nam cn hc hi kinh nghim t cc thng gia quc t trong vic x l cc ri ro do hon cnh thay i mang li trong hp ng ca h. T nhng nhn thc , tc gi xin c khuyn ngh cc c nhn, t chc khi m phn hoc son tho cc hp ng, cn phi a vo hp ng ca mnh iu khon hardship vi nhng ni dung va trnh by trn. iu khon hardship tuy cn kh xa l Vit Nam, nhng khng phi l iu g qu mi m trong thc tin thng mi quc t, v ngun gc u tin ca iu khon ny khng phi l sng kin ca nh lp php m chnh l kt qu s sng to ca thng gia v cc nh t vn php l trong thc tin thng mi. Vi cch tip cn , tc gi cho rng, cho iu khon hardship c bit n v c s dng ph bin ti Vit Nam, th cch lm hiu qu nht vn l tuyn truyn, hng dn cc thng gia s dng thng xuyn cc iu khon ny trong cc giao dch thng mi ca mnh. Nhng em l thuyt tru tng ny n c vi thc tin thng mi qu l iu khng d. lm c iu ny, thit ngh cn s dng mt trong nhng knh trung chuyn hiu qu nht, l thng qua hot ng t vn ca cc lut s v thng qua vic o to cc sinh vin lut - nhng lut gia m nhn vai tr t vn php l cho cc doanh nghip trong tng lai. Trong , vic o to gin tip cho cc thng gia thng qua vic a iu khon ny vo ging dy trong chng trnh php lut v hp ng cho cc sinh vin lut, l nhu cu cp thit hin nay. Tin rng, t nhng ht ging u tin c gieo trng trong vn m ca cc trng lut, iu khon hardship s c cc thng gia v x hi bit n nhiu trong mt vi nm ti.

197 KT LUN CHNG 5 1. Mc d hp ng c giao kt c hiu lc th phi c tn trng v phi c thc hin ng. Nhng vic thc hin hp ng l mt qu trnh c nhiu ri ro m cc bn khng lng trc c. x l vn ny, khng ch trong thc tin thng mi, m c trong lut thc nh v trong n l ca nhiu nc cng tha nhn v p dng iu khon hardship gii quyt cc tranh chp pht sinh trong thc t. 2. iu khon hardship cha c bit n nhiu trong lut thc nh Vit Nam. S thiu vng cc qui nh ny lm cho c c quan t php ln cc bn lin quan lng tng khi gii quyt cc tranh chp. Thc tin xt x cng xut hin cc tranh chp loi ny, nhng cch gii quyt gia cc ta n l cha nht qun, v iu khon ny cng cha c cp n nh l mt trong nhng cn c php l gii quyt tranh chp. 3. Trn c s tip thu nhng kinh nghim ca qu trnh son tho iu khon hardship trong php lut ca cc nc v trong cc b nguyn tc v hp ng quc t, tc gi a ra nhng khuyn ngh l cn b sung vo BLDS 2005 mt iu lut mi (iu 423a) v Sa i hp ng khi hon cnh thay i nhm qui nh r khi nim v iu kin ca quyn sa i hp ng khi hon cnh thay i (khon 1); th tc yu cu bn kia sa i hp ng, nhng cc bn khng c tm ngng hay hy b hp ng v l do khi mt bn c yu cu sa i hp ng (khon 2); quyn yu c quan t php gii quyt khi vic yu cu sa i hp ng khng thnh cng (khon 3); v, hng x l ca c quan t php khi gii quyt tranh chp loi ny (khon 4). Ngoi ra, tc gi cng kin ngh HTP - TANDTC ban hnh Ngh quyt hng dn p dng iu khon ny gii quyt cc tranh chp trn c s vn dng nguyn tc thin ch, trung thc, ngay thng v nguyn tc cng bng; khuyn ngh cc bn lin quan thn trng a vo hp ng cc iu khon thch hp x l linh hot ri ro loi ny. 4. Trong bi cnh Vit Nam hi nhp ngy cng su rng vo cc th ch kinh t th gii, nn php lut Vit Nam cng khng th l ngi ngoi cuc m cn phi c s tip thu c chn lc cc qui nh tin tin ca php lut cc nc v cc nguyn tc, tp qun thng mi v hp ng, lm c s cho vic b sung v hon thin php lut hp ng Vit Nam. Vic tip thu phi tnh n yu t tng th v tnh c h thng ca ch nh hp ng, ng thi lm cho php lut hp ng Vit Nam ngy cng tr nn hin i, tng thch vi php lut ca cc nc v ca cc t chc quc t, nhng cng ph hp vi iu kin, hon cnh ca Vit Nam.

198

KT LUN
1. Hiu lc hp ng l gi tr php l ca hp ng nhm lm pht sinh cc quyn v ngha v ca cc bn tham gia, v hiu lc rng buc mang tnh cng ch ca hp ng nhm buc cc bn phi tn trng v phi thi hnh nghim tc cc quyn v ngha v . Hiu lc ca hp ng cng l ni dung ct li th hin bn cht ca hp ng. y l vn php l rt phc tp v c mi lin h bin chng vi nhiu vn php l quan trng khc ca php lut hp ng, nh iu kin c hiu lc ca hp ng, thi im giao kt hp ng, thi im c hiu lc ca hp ng, hiu lc rng buc thc hin ng hp ng, hiu lc tng i ca hp ng, hiu lc ca hp ng i vi ngi th ba, gii thch hp ng, sa i v chm dt hp ng Cc ni dung khng phi l nhng vn c lp m l mt tng th c mi lin h thng nht vi nhau, to thnh mt chnh th gi l c ch php l iu chnh hiu lc hp ng. Do vy, vic nghin cu hon thin qui nh php lut v hiu lc hp ng cng c ngha l hon thin ton b c ch . 2. Lun n tp trung nghin cu nhng ni dung trng tm ca vn hiu lc hp ng, nh vn iu kin c hiu lc, thi im c hiu lc, hiu lc rng buc ca hp ng, v hiu lc ca hp ng khi hon cnh thay i. Mi ni dung va nu c thit k thnh mt chng, kt hp vi chng l lun chung v hiu lc hp ng, to thnh nm chng ca lun n. 3. Ni dung chng 1 tp trung lm r cc vn l lun c bn v hiu lc hp ng, nh trnh by khi nim hp ng, phn tch bn cht ca hp ng. Ni dung trng tm ca chng 1 l lm r khi nim hiu lc hp ng v ni hm ca khi nim ny. Kt qu nghin cu ca chng 1 l: kin ngh sa i thut ng hp ng dn s thnh hp ng m bo tnh chnh xc ca khi nim ny; xy dng c cc khi nim mi hiu lc hp ng, c ch php l iu chnh hiu lc hp ng lm tin l lun tip cn v nghin cu cc vn php l tip theo. 4. Ni dung chng hai nghin cu v iu kin c hiu lc ca hp ng vi tnh cht l iu kin bo cho hp ng c lp hp php v c gi tr php l. Vn cc iu kin c hiu lc ca hp ng c qui nh kh c th trong lut thc nh, ng thi cng c nhiu hc gi nghin cu kh hon thin, tr vn hnh thc hp ng (giao dch dn s) v hu qu php l do hp ng b vi phm hnh

199 thc vn cn nhiu kin tranh lun v cha thng nht. Bi vy, ni dung chng hai ch trnh by ni dung ca cc iu kin c hiu lc ca hp ng mc cn bn, v dnh trng tm nghin cu i vi vn hnh thc hp ng. Kt qu nghin cu cc qui nh v hnh thc hp ng cho thy thc trng php lut v thc tin xt x lin quan ti vn hp ng b vi phm hnh thc v hu qu php l khi hp ng b vi phm v hnh thc vn cn nhiu im bt cp, cha nht qun. Trn c s , a ra mt s kin ngh c th, nh kin ngh sa i, b sung khon 1 iu 134 BLDS 2005; b sung khon 2, 3 iu 134 (mi); sa i, b sung khon 1 iu 401; sa i, b sung khon 2 iu 401; bi b on 2, khon 2, iu 401;b sung khon 3 iu 401. Cc ni dung c th: xem Ph lc s 12. 5. Ni dung chng 3 nghin cu v thi im c hiu lc ca hp ng. Php lut Vit Nam hin hnh xem thi im giao kt v thi im c hiu lc ca hp ng l hai loi thi im khc nhau, c ngha php l khc nhau. Thi im c hiu lc ca hp ng l thi im giao kt hp ng tr trng hp cc bn c tha thun khc hoc php lut c qui nh khc. Thc trng php lut v thi im c hiu lc ca hp ng cng bc l nhiu bt cp, nh ni dung iu 404 l cha l gch v cha cht ch, khon 2 iu 404 cha d liu trng hp s im lng l ng giao kt hp ng khi php lut c qui nh; iu 405 c tiu cha ph hp, ni dung ca iu 405 cha y v cn gy nhiu tranh ci. T , kin ngh: sa i c bn v b sung mt s qui nh mi vo iu 404 v thi im giao kt hp ng; b sung qui nh v vic tha thun thi im c hiu lc hp ng v thit k thnh khon 2 (mi) ca iu 405 BLDS 2005. C th: Xem Ph lc 13. 6. Chng 4 nghin cu c bn v hiu lc rng buc ca hp ng. y l ni dung phc tp, c lin quan ti nhiu qui nh khc ca php lut v ngha v dn s, v thc hin hp ng v trch nhim dn s do khng thc hin ng hp ng. Nghin cu l lun v thc tin cho thy c mt s bt cp cn phi c sa i, b sung. C th: b sung iu lut (iu 405a) qui nh trc tip v hiu lc rng buc ca hp ng; sa i, b sung qui nh ti khon 1 iu 303 BLDS 2005 v trch nhim i vi c ngha v giao vt c nh b h hng; Sa i, b sung qui nh ti khon 1 iu 303 BLDS 2005 v trch nhim do khng thc hin ngha v giao vt cng loi. Cc ni dung c th: Xem Ph lc 14.

200 7. Tuy tha nhn nguyn tc cng bng v nguyn tc trung thc, thin ch v hp tc, nhng php lut Vit Nam hin hnh vn cha d liu kh nng hn ch s cc oan ca nguyn tc hiu lc bt bin ca hp ng, nn iu khon hardship cha c bit n mt cch rng ri trong thc tin php l Vit Nam hin nay, mc d iu khon ny c chp nhn trong lut thc nh v thc tin t php nhiu quc gia trn th gii, v c a vo cc b nguyn tc quc t v hp ng (nh PICC, PECL). Chng 5 tp trung nghin cu v iu khon sa i hp ng khi hon cnh thay i (hardship clause), thng qua vic kho st thc tin php l v vn ny mt s nc trn th gii tm hiu v nhng kinh nghim thch hp phc v cho vic xy dng, b sung cc qui nh tng ng vo BLDS 2005. Trn c s xut mt s kin ngh c th: Vit ha khi nim hardship a vo qui nh trong lut Vit Nam, vi tn gi l iu khon sa i hp ng khi hon cnh thay i v thit k thnh iu 423a BLDS 2005; ng thi b sung cc cn c, cc tiu ch c th cho php cc bn c yu cu ta n, trng ti can thip buc cc bn phi thng lng li hp ng trong mt thi hn v theo th tc xc nh; nu cc bn khng chu thng lng li, hoc thng lng khng thnh cng, hoc nu hp ng khng th thng lng li c, th ty trng hp m ta c th can thip sa hp ng hoc tuyn b chm dt hp ng. Ni dung c th: Xem Ph lc s 15. 8. Trong bi cnh ngy cng gia tng xu hng hi nhp v ton cu ha ca cc nn kinh t, s pht trin mnh m ca cc hot ng kinh t thng mi gia cc quc gia tc ng v lm thay i su rng trong nhn thc i vi cc hc thuyt php l v hiu lc hp ng, s khng nh ngy cng r rt ca xu hng nht th ha, hi ha ha gia cc h thng php lut, c bit l trong lnh vc php lut hp ng, th vic cn sm tm mt c ch php l iu chnh hiu lc hp ng linh hot, ph hp vi hon cnh ca Vit Nam v p ng cc yu cu ca tnh hnh mi, l mt yu cu cp bch ca khoa hc php l, v c ch hardship l mt s b sung hp l v quan trng cho c ch php l iu chnh hiu lc hp ng. 9. Nh khng nh, hiu lc ca hp ng l mt ti c ni dung phc tp v phm vi nghin cu rt rng lin quan ti nhiu ni dung phc tp khc, nn trong qu trnh nghin cu, tc gi cha c iu kin gii quyt ht c, tc gi coi nh hng nghin cu tip khi c iu kin, nh vn hiu lc tng i ca hp ng, hiu lc ca hp ng i vi ngi th ba, gii thch hp ng

201

NHNG CNG TRNH TC GI CNG B

C LIN QUAN TI LUN N

1. nh hng ca yu t hnh thc i vi hp ng (2009), Tp ch Khoa hc Php l, s 02/2009, tr. 12 22.

2. iu khon iu chnh hp ng do hon cnh thay i (Hardship) trong

php lut nc ngoi v kinh nghim cho Vit Nam (2009), tp ch Nghin cu lp php, s 6, thng 3/2009, tr. 41- 51.

3. Thi im c hiu lc ca hp ng theo qui nh ti iu 405 B lut Dn

s 2005 (2009), tp ch Nh nc Php lut, s 6/2009, tr. 45 55.

DANH MC TI LIU THAM KHO

1. H c Anh, Cc qui nh v hp ng trong B lut Dn s v Lut Thng mi nm 2005, Kim st, s 05 thng 3/2006, tr. 34-36. 2. Vit Anh, B T php cam kt gii quyt 'ni kh' cng chng - http:// www.vnexpress.net/GL/Xa-hoi/2006/06/3B9EA91B/ (truy cp ngy 21/8/2008). 3. Alexandre, Vanwijck, iu khon chm dt v iu khon duy tr hp ng, K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php t chc ti H Ni, ngy 13, 14/12/2004, tr. 229-258. 4. Amoussou Gunou, Roland, Trin vng pht trin cc nguyn tc php lut hp ng ASEAN (hoc Chu ), K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php t chc ti H Ni, ngy 13, 14/12/2004, tr. 2-19. 5. 6. Nguyn Mnh Bch, Php lut v hp ng, Nxb. CTQG, H. 1995. Nguyn Mnh Bch, Dn lut Vit Nam: Ngha v, Nxb. Trng Th, Si Gn, 1974. 7. Ban chp hnh Trung ng ng Cng sn Vit Nam, Ngh quyt 07 NQ/TW ngy 27/11/2001 v Hi nhp kinh t quc t. 8. Ban chp hnh Trung ng ng Cng sn Vit Nam, Vn kin i hi i biu Ton quc ln th IX, Nxb. CTQG, H. 2001. 9. Ban Son tho BLDS (Sa i), Bn thuyt minh D tho BLDS (sa i), H Ni thng 11/2004. 10. Bzard, Pierre, Hai trm nm BLDS Php v nh hng i vi BLDS Vit Nam, trch K yu Hi tho Hai trm nm B lut Dn s Php, t chc ti H Ni, t ngy 03/11 05/11/2004, tr. 47 - 69. 11. B Chnh tr, Ngh quyt s 48-NQ/TW ngy 24/5/2005 v Chin lc xy dng v hon thin h thng php lut Vit Nam n 2010, nh hng n nm 2020. 12. B Cng Thng, Mt s iu c a phng thng c s dng trong thng mi quc t: Gii thch ca Ban Th k (UNCITRAL) v Cng c ca Lin hip quc v hp ng mua bn hng ha quc t, Nxb. i hc S phm, H. 2007, tr. 43-50.

2 13. B Dn lut Bc k 1931. 14. B Dn lut Si Gn 1972, Nxb. Thn Chung, Si Gn, 1973. 15. B lut Dn s Vit Nam 2005. 16. B lut Dn s Vit Nam 1995. 17. B lut Dn s Cng ha Lin bang c (Bn dch sang ting Anh - 28 September 2009, I 3161, 2010 juris GmbH, Saarbrcken, xem: www.juris.de). 18. B lut Dn s Lin bang Nga 1994. 19. B lut Dn s Cng ha Php, Nxb. T php, H. 2006. 20. B lut Dn s Nht Bn (Bn dch ca Vn phng Quc hi, kha IX, 1994). 21. B lut Dn s Thng mi Thi Lan, Nxb. CTQG, H. 1995. 22. B lut Hng hi Vit Nam 2005. 23. B lut Lao ng 1994, sa i ngy 02/4/2002 v ngy 29/11/2006. 24. B lut T tng Dn s 2004. 25. B nguyn tc ca UNIDROIT v hp ng thng mi quc t 2004, Dg: Nguyn Minh Hng, o Thu Hin v cc Dgk, Nxb. T php, H. 2005. 26. B T php, Nhng ni dung c bn ca BLDS nc CHXHCN Vit Nam, Ti liu nghin cu, H. 1996. 27. Canivet, Guy, Tham lun dn, K yu Hi tho 200 nm B lut Dn s Php, Nh Php lut Vit Php, H. ngy 03, 04, 05/ 11/2004, tr. 5-12. 28. Castaldo, Andr, B lut Dn s trong tin trnh lch s, K yu 200 nm B lut Dn s Php, Nh Php lut Vit Php, H. ngy 03, 04, 05/11/2004, tr. 13-22. 29. Nguyn B Chin, Bn v mt s yu cu i vi vic xy dng h thng cc qui phm php lut xung t v vic p dng i vi hp ng dn s c yu t nc ngoi, Nh nc v Php lut, s 08 (184) thng 8/2003, tr. 67-72. 30. Nguyn B Chin, Php lut trit tiu php lut, Nghin cu Lp php, s 04 thng 4/2006, tr. 51-57 & 64. 31. Chnh ph, T trnh s 1443/CP-PC ngy 04/10/2004 trc Quc hi kha XI, K hp th 6 v d tho B lut Dn s (sa i).

3 32. Vn Chnh, Tng cho quyn s dng t - Thc tin v tn ti, Ta n Nhn dn, s 02 thng 01/2008, tr. 23-30. 33. Nguyn Chng, Kinh nghim thc t Gii quyt tranh chp hp ng thng mi hng hi, Nxb. CTQG, H. 2008. 34. Cng c ca Lin hip quc v s dng giao dch in t trong thng mi quc t (ngy 23/01/2005), trong quyn Mt s iu c a phng thng c s dng trong thng mi quc t, Nxb. i hc S phm, H. 2007, tr. 53-67. 35. Cng c ca Lin hip quc v vn chuyn bng ng bin (cc Qui tc Hamburg 1978), trong quyn Mt s iu c a phng thng c s dng trong thng mi quc t, Nxb. i hc S phm, H. 2007, tr. 87-111. 36. Cng c quc t thng nht mt s qui tc lin quan n vn ti hng khng quc t (Cng c Montral 25/5/1999), trong quyn Mt s iu c a phng thng c s dng trong thng mi quc t, Nxb. i hc S phm, H. 2007, tr. 124-149. 37. Cng c ca Lin hip quc v Hp ng mua bn hng ha Quc t (CISG), Vin 1980. 38. Ng Huy Cng, Khi nim hiu lc ca ngha v v vn thc hin ngha v, Nh nc v Php lut, s 8/2008, tr. 37 48. 39. Ng Huy Cng, Ngha v dn s v quan nim ngha v dn s Vit Nam, Nghin cu lp php, s 121, thng 4/2008, tr.17 26 & 32. 40. Ng Huy Cng, T do ch v s tip nhn t do ch trong php lut Vit Nam hin nay, Nghin cu Lp php, s 02/2008, tr. 11-20. 41. Ng Huy Cng, Ngha v v hp ng Mt s vn c bn, trong quyn Mt s vn l lun v thc tin v php lut hp ng Vit Nam hin nay, Nguyn Nh Pht & L Thu Thy (Cb), Nxb. CAND, H. 2003, tr. 52-80. 42. Bi Ngc Cng, Cc iu khon c quyn trong hp ng nhng quyn thung mi, Nh nc v Php lut, s 7 (231) thng 7/2007, tr. 38-45. 43. Bi Ngc Cng, Mt s vn hon thin php lut v hp ng Vit Nam, Nh nc v Php lut, s 5 (205) thng 5/2005, tr. 47-53&63.

4 44. Nguyn Vn Cng, Giao dch dn s v hiu v hu qu php l ca giao dch dn s v hiu, Lun n TS Lut hc, H Lut H Hi, H. 2005. 45. Nguyn Vn Cng, Giao dch dn s v hiu do khng tun th v hnh thc, Ta n Nhn dn, s 01/2002, tr. 29-31. 46. Nguyn Vn Cng, Gii quyt v kin v hp ng mua bn nh ti ta n, Nh nc v Php lut, s 5 (157) thng 5/2001, tr. 69-71. 47. Dely, Filip, Thc tin son tho hp ng quc t, K yu hi tho Hp ng Thng mi Quc t, H. ngy 13, 14/12/2004, tr. 281-294. 48. Nguyn B Din, V bn cht v cc loi hnh ca hp ng li-xng, Nh nc v Php lut, s 7 (135)/1999, tr. 52-63. 49. Draetta, Ugo, iu khon v trng hp bt kh khng v iu khon v hardship trong hp ng quc t, K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php, H. ngy 13, 14/12/2004, tr. 181-190. 50. Trn Vn Dng, Khi ng s tha thun t nguyn bi thng trong giao dch dn s v hiu, Dn ch & Php lut, s 1/2006, tr. 54 -55. 51. Nguyn S Dng, Bn v trit l ca lp php, Nghin cu Lp php, s 06 thng 6/2003, tr. 6-8 . 52. Trn Duy, Ngy 2/4 Vinapco ni li vic bn xng cho Pacific Airlines, http://vietnamnet.vn/kinhte/2008/04/776451/, truy cp lc 19:39' ngy 02/4/2008. 53. Ch M Phng i, Nhng im mi c bn trong phn III Ngha v dn s v hp ng dn s - BLDS 2005, Khoa hc Php l, 6/2006, tr. 8-13. 54. Vn i, Lut Hp ng Vit Nam Bn n v Bnh lun bn n, Nxb. CTQG, H. 2008. 55. Vn i, V tr ca B lut Dn s trong lnh vc hp ng, Nh nc & Php lut, s 7/2008, tr. 12 19 56. Vn i, Thc hin hp ng b tuyn b v hiu, Khoa hc Php l, s 5/2006, tr. 15-19. 57. Vn i, V iu chnh nguy c khng thc hin hp ng trong B lut Dn s, Nh nc v Php lut, s 1 (201) thng 1/2005, tr. 21-24.

5 58. Vn i, Vn hy b, nh ch hp ng do vi phm B lut Dn s Vit Nam, Khoa hc Php l, s 3/2004, tr. 35, 36. 59. Vn i, Hp ng khng th thc hin c do yu t khch quan, Ta n Nhn dn, s 02/2004, tr. 10-13. 60. Vn i v Vn Hu, Ni dung ca hp ng trong giao dch dn s, Tp ch Nghin cu lp php, s 01/2006, tr. 34 - 7 . 61. Nguyn Ngc o, Lut La M, Khoa Lut - HQG H Ni, H. 1994. 62. T in, Thng mi Vit Nam trc thm hi nhp, Nghin cu Lp php, 2(56) thng 8/2005, tr. 25- 7. 63. Vn on, B hp ng mua xe, c c bi thng?,

http://www.phapluattp.vn/news/ban-doc/view.aspx?news_id=223953, truy cp lc 23:02 ngy 10/8/2008. 64. V Vit on, Gi vng tng t bin, bt ng sn t lit, Din n Doanh nghip, http://dddn.com.vn/5042cat117/gia-vang-tang-dot-bien-thi-truong-batdong-san-te-liet.htm, truy cp 15/3/2009. 65. Favret, Jean Marc, Nhng vn c bn v Lin minh Chu u v php lut Cng ng Chu u, Nxb. VH TT, H. 2002. 66. Fontaine, Marcel, 25 nm nghin cu v thc tin hp ng thng mi quc t, K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php, H. ngy 13, 14/12/2004, tr. 117-122. 67. Fromont, Michel, Cc h thng php lut c bn trn th gii Dg: Dng Trung Dng, Nxb. T php, H. 2006. 68. Phm Hong Giang, nh hng ca iu kin hnh thc hp ng n hiu lc ca hp ng, Nh nc v Php lut, s 3, thng 3/2007, tr. 41-51. 69. Phm Hong Giang, S pht trin ca php lut hp ng: T nguyn tc t do giao kt hp ng n nguyn tc cng bng, Nh nc v Php lut, s 10, thng 10/2006, tr. 28-31. 70. Nguyn c Giao, V tr, vai tr ca ch nh hp ng trong B lut Dn s Vit Nam, Thng tin Khoa hc Php l - S chuyn : Nghin cu so snh php lut v hp ng gia Vit Nam v Nht Bn, s 2/2000, tr. 34-46.

6 71. Groussot, Xavier & Nguyn Thanh T, Nguyn tc cn bng - hp l trong t do ha thng mi, Khoa hc Php l, s 5 (36)/2006, tr. 3 - 14. 72. Guilenchmidt, Jacqueline de, B.O.T v hp ng giao thu cng chnh, K yu Hi tho Cc d n ln v h tng c s (Kha cnh php l, kinh t v ti chnh), do Nh Php lut Vit Php t chc ti H Ni, ngy 19 21/5/1997, tr. 32-9. 73. L Thu H, Thi hiu ca vn bn php lut Cn c nh gi hp ng v hiu, Nghin cu Lp php, chuyn Hin k lp php s 22 thng 4/2007, tr. 56-57&62. 74. L Thu H, Ai c th lm ngi i din cho ch M?, Nh nc v Php lut, s 9, thng 9/2006, tr. 81-83. 75. L Thu H, Bnh lun khoa hc v Php lut dn s v thc tin xt x, Nxb. T php, H. 2005. 76. Ng. Hi, Gn 10 nm kin i 5,5 triu USD, http://vnexpress.net/SG/Phapluat/2007/01/3B9F2711/, truy cp ngy 12/03/2008. 77. L Hng Hnh, Nhng nn tng php l c bn ca nn kinh t th trng nh hng x hi ch ngha Vit Nam, D n TA 2853-VIE, H Ni, 2002. 78. L Hng Hnh (cb), o c v k nng ca lut s trong nn kinh t th trng nh hng XHCN Vit Nam, Nxb. i hc S phm, H. 2002. 79. Trn nh Ho, Cc qui nh v giao dch dn s trong D tho B lut Dn s (sa i), Khoa hc Php l, s 02/2005, tr. 9-13. 80. Nguyn Minh Hng, Cc nguyn tc ca Unidroit: n l v kinh nghim i vi Vit Nam, K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php, H. ngy 13, 14/12/2004, tr. 102- 113. 81. H Th Mai Hin, Sa i B lut Dn s Vit Nam v vn hon thin ch nh hp ng, Nh nc v Php lut, s 3 (203) thng 3/2005, tr. 10-19. 82. Hin php nc Cng ha XHCN Vit Nam nm 1992, c sa i, b sung bi Ngh quyt 51/2001/NQ-QH11 ngy 25/12/2001 ca Quc hi kha XI. 83. inh Ngc Hin, Thc tin p dng cc qui nh ca B lut Dn s Vit Nam trong vic gii quyt cc tranh chp v hp ng ti ta n, Thng tin Khoa hc

7 Php l - S chuyn Nghin cu so snh php lut v hp ng gia Vit Nam v Nht Bn, s 2/2000, tr. 58-85. 84. Hong Phc Hip, Hon thin php lut Vit Nam thc hin c hiu qu quy ch thnh vin WTO, Nh nc v Php lut, s 2 (226), thng 2/2007, tr. 917&43. 85. Hip nh WTO, Nxb. Giao thng Vn ti, Tp. H Ch Minh, 2007. 86. Phan Ch Hiu, Hon thin ch nh hp ng, Nghin cu Lp php, thng 04/2005, tr. 56-60. 87. Nguyn Am Hiu, xut sa i BLDS phn Ngha v v Hp ng, trch K yu Ta m Tng kt tnh hnh thi hnh cc qui nh v hp ng trong BLDS 2005,t chc ti H Ni vo cc ngy 28 29/7/2009, tr. 3-11. 88. Nguyn Am Hiu, Bn v i tng iu chnh v tnh thng nht trong D tho Lut Thng mi (sa i), Nh nc v Php lut, s 2 (202) thng 2/2005, tr. 24-27. 89. Nguyn Am Hiu, Mt s vn lin quan n vic sa i php lut Vit Nam v hp ng, Nh nc v Php lut, s 4 (192), 4/2004, tr. 32-39. 90. Nguyn Am Hiu, Mt s vn lin quan n vic sa i php lut hp ng Vit Nam, Ti liu s 9 trong K yu Hi tho Php lut hp ng, do y ban Php lut ca Quc hi Vit Nam, t chc ti H Ni, Ngy 29/04/2004. 91. Hong Vit Trung k H lut (B Dn lut Trung k), Nxb. Vin , Hu, 1947. 92. Hi ng Ch o quc gia bin son T in Bch khoa Vit Nam, T in Bch khoa Vit Nam, Tp 2, Nxb. TBK, H. 2002. 93. Hi ng Ch o quc gia bin son T in Bch khoa Vit Nam, T in Bch khoa Vit Nam, Tp 4, Nxb. TBK, H. 2005. 94. Phan Huy Hng, V qu trnh tho lun v xy dng Lut Hp ng Chu u, Khoa hc Php l, s 5 2006, tr. 56 63. 95. Phan Huy Hng, Bn v nng lc php lut ca php nhn kinh doanh, Nh nc v Php lut, s 5 (205) 2005, tr. 54 - 59.

8 96. Dng ng Hu, Php lut v hp ng Vit Nam Thc trng v hng hon thin, K yu Hi tho Php lut hp ng, y ban Php lut ca Quc hi Vit Nam, H. ngy 29/04/2004. 97. Dng ng Hu, Mt in hnh ca vic xy dng php lut theo hng hi nhp, Nghin cu Lp php, s 6 /2003, tr. 58 - 67. 98. Dng ng Hu, Hon thin php lut v hp ng Vit Nam, Nh nc v Php lut, s 6 (170) / 2002, tr. 13 - 22. 99. Nguyn Huy Hng, Hp ng dn s hay hnh vi phm ti?, Dn ch & Php lut, s 9/2002, tr. 30-31. 100. L Minh Hng, iu khon iu chnh hp ng do hon cnh thay i (Hardship) trong php lut nc ngoi v kinh nghim cho Vit Nam, NCLP, s 6, thng 3/2009, 41 - 51. 101. L Minh Hng, S nh hng ca yu t hnh thc i vi hp ng, KHPL, s 1, thng 2/2009, tr. 12 - 22. 102. L Minh Hng, Php nhn - ch th ca quan h php lut dn s, trong Nhng vn chung v Lut Dn s, Tp bi ging, i hc Lut Tp. H Ch Minh 2008, tr. 140 244. 103. L Minh Hng, H gia nh, t hp tc, trong Nhng vn chung v Lut Dn s, Tp bi ging, i hc Lut Tp. H Ch Minh 2008, tr. 245-313. 104. Trn Hi Hng, i mi php lut v hp ng ca B lut Dn s 2005, Nxb. T php, H. 2006. 105. Vn Hu, Vi phm v hnh thc c l cn c xc nh hp ng v hiu?, Nghin cu Lp php, Chuyn Hin k Lp php, s 33 Thng 3/2008, tr. 55-57. 106. Thu Hng, Hnh trnh 18 nm ca mt v n mua bn nh v vic p dng Ngh quyt s 58, Dn ch v Php lut, s 11/1999, tr. 18-20. 107. Hu Kha, Xc nh thi im c hiu lc chuyn quyn s hu ti sn t cc qui nh khc nhau ca php lut, Hin k Lp php, S 30 (112), Thng 12/2007, tr. 50-53. 108. Nguyn Ngc Khnh, Ch nh hp ng trong B lut Dn s Vit Nam, Nxb. T php, H. 2007.

9 109. Nguyn Ngc Khnh, Thc hin ngha v hp ng trn thc t, Nghin cu Lp php, s 02 thng 02/2007, tr. 40-44. 110. Nguyn Ngc Khnh, Hp ng: thut ng v khi nim, Nh nc v Php lut, s 8 (220)/2006, tr. 38-43. 111. Nguyn Ngc Khnh, Nhng im mi c bn v hp ng trong B lut Dn s 2005, Kim st, s 02 thng 01/2006, tr. 17-25. 112. Nguyn Ngc Khnh, Giao kt hp ng Mt s vn l lun v thc tin, trong quyn Mt s vn l lun v thc tin v php lut hp ng Vit Nam hin nay (Nguyn Nh Pht v L Thu Thy - Cb), Nxb. CAND, H. 2003, tr. 102-113. 113. V Khiu v Thnh Duy, o c v Php lut trong trit l pht trin Vit Nam, Nxb. KHXH, H. 2000. 114. Kohl, Benoit, iu khon chm dt v iu khon duy tr, ko di hp ng, K yu hi tho Hp ng Thng mi Quc t, Nh Php lut Vit Php, H. ngy 13, 14/12/2004, tr. 259-280. 115. Phm Cng Lc, Thi im c hiu lc ca hp ng, Bo Php lut Vit Nam, S chuyn 01 thng 11/2004, tr. 15. 116. Phm Cng Lc, ch trong giao dch dn s, Lut hc, s 5/1998, tr. 6-9&24. 117. Phm Cng Lc, V iu kin trong hp ng c iu kin, Lut hc, s 2/1998, tr. 29-32. 118. Lecuyer, Herv & Christophe Caron, S pht trin ca cc ch nh c bn trong php lut dn s, K yu Hi tho, Nh Php lut Vit Php, H. ngy 30/06 v 01/07/1998. 119. Lesguillons, Henry, Cc iu khon Hardship, K yu Hi tho Lut Thng mi quc t, Nh Php lut Vit Php t chc ti H Ni, t 13 14/12/2004, tr. 86 94. 120. V L, Khu t vng ch mt khch hng u gi, http://www.vnexpress.net/ GL/Kinh-doanh/2008/08/3BA05140/, truy cp lc 10:15 ngy 15/12/2008. 121. Hong Xun Lim, Lut so snh v vn nht th ha php lut, Nh nc v Php lut, S 7/1998, tr. 57-63.

10 122. Hong Th Lin (Cb), Bnh lun BLDS Vit Nam (1995), tp 1, Nxb. CTQG, H. 1996. 123. Hong Th Lin, Nguyn c Giao, Nguyn Xun Anh v cc tgk, Bnh lun khoa hc Mt s vn c bn ca B lut Dn s 1995, Nxb. CTQG, H. 1997. 124. Hong Th Lin, Phm Vn Li v cc tgk, Bn v c s php l ca thng mi in t Vit Nam, Vin NC Khoa hc Php l, B T php, H. 2000. 125. Phng Linh, T chuyn Hp ng v hiu n nim tin vo php lut, Nghin cu Lp php, s 4 2003/4, tr. 12-19. 126. Song Linh, Zimbabwe lm pht 2.000.000 %, Vnexpress.net:

http://www.vnexpress.net/GL/Kinh-doanh/Quoc-te/2008/06/3BA030CF/ , truy cp ngy 15/3/2009. 127. L.Th.H - Tr.Cng - B.Chi, Khan him khu trang y t, Tui tr online, http://www.tuoitre.com.vn/tianyon/Index.aspx?ArticleID=328908&ChannelID=3, truy cp 29/07/2009. 128. Kinh Lun, Khi cng cng hng khng quc t Ph Quc, Thi Bo Kinh T Si Gn, http://www.thesaigontimes.vn/Home/thoisu/sukien/12445/, truy cp lc 21:59 ngy 23/11/2008. 129. Lut An ninh Quc gia 2004. 130. Lut Bo v quyn li ngi tiu dng 2010. 131. Lut Cc t chc tn dng 1997 (sa i b sung nm 2004). 132. Lut Cnh tranh 2004. 133. Lut Cht lng sn phm, hng ho 2007. 134. Lut Chuyn giao cng ngh 2006. 135. Lut Chng khon 2006. 136. Lut Cng chng 2006. 137. Lut Du kh 1993 (sa i b sung nm 2000 v 2008). 138. Lut Doanh nghip 2005. 139. Lut u thu 2005.

11 140. Lut u t 2005. 141. Lut t ai 2003. 142. Lut in lc 2001. 143. Lut Giao dch in t 2005. 144. Lut Giao thng ng thy Ni a 2004. 145. Lut Hng khng Dn dng Vit Nam 2006. 146. Lut Hin, ly, ghp m, b phn c th ngi v hin, ly xc 2006. 147. Lut Hp ng ca nc CHND Trung Hoa, nm 1999 (Bn dch, in trong Ph lc ca K yu hi tho Php lut v Hp ng, do y ban Php lut ca Quc hi v D n Star Vit Nam USAID t chc ti H Ni, ngy 29/4/2004). 148. Lut Kinh doanh bo him 2001. 149. Lut Kinh doanh bt ng sn 2006. 150. Lut Lut s 2006. 151. Lut Nh 2005. 152. Lut S hu tr tu 2005. 153. Lut sa i, b sung mt s iu ca cc Lut lin quan n u t xy dng c bn (s 38/2009/QH12 ngy 19/6/2009). 154. Lut Thng mi 2005. 155. Lut Thng mi 1997. 156. Lut Xy dng 2003. 157. Nguyn Vn Luyn, L Th Bch Th & Dng Anh Sn, Lut Hp ng Thng mi quc t, Nxb. HQG, TP. HCM 2005. 158. Nguyn Kim Lng, V p dng iu 139 B lut Dn s (1995), Ta n Nhn dn, S 6/2002, tr. 12, 13. 159. Tng Bng Lng, Khi no giao dch t cc c hiu lc php lut v khi no th v hiu, Ta n nhn dn, s 12/2002, tr. 1 3.

12 160. Tng Duy Lng, Hng x l vic ngi Vit Nam nh c nc ngoi mua nh t, nhng nh ngi khc ng tn h, Ta n Nhn dn, S 6 Thng 3/2008, 17-20. 161. Tng Duy Lng, Bnh lun Mt s v n dn s v hn nhn gia nh, Nxb. CTQG, H. 2001. 162. Ng c Mnh, Xy dng v hon thin php lut nhm thc thi cc cam kt gia nhp WTO, Nh nc v Php lut, s 2 (226)/2007, tr. 18 - 23. 163. Matsumoto Tsuneo, Nghin cu v Lut Hp ng Vit Nam, K yu Hi tho Php lut hp ng, do y ban Php lut ca Quc hi Vit Nam, t chc ti H Ni, Ngy 29/04/2004. 164. Mazeaud, Denis & Herv Lecuyer, S pht trin ca php lut dn s v thng mi Php, K yu Hi tho do Nh Php lut Vit Php t chc ti H Ni, ngy 23-24/9/1997. 165. V Vn Mu, Php lut din ging, quyn th nht, tp 2, i hc Lut khoa, Si Gn 1975. 166. V Vn Mu, C lut Vit Nam v T php s, Quyn th hai, i hc Lut khoa, Si gn 1973. 167. V Vn Mu, C lut Vit Nam thng kho, Nxb. i hc Lut khoa, Si Gn 1971. 168. V Vn Mu, Vit Nam Dn lut - luc kho, Quyn II Ngha v v kh c, Phn th nht: Ngun gc ca ngha v, Nxb. B QGGD, Si Gn 1963. 169. V Vn Mu, Dn lut khi lun, Nxb. B Quc gia Gio dc, Si Gn 1958. 170. Mikazuki Akira, Lch s cu trc ch php lut ca Nht Bn sau khi bt u hin i ha (nm 1868), Thng tin Khoa hc Php l, S chuyn Nghin cu so snh php lut v hp ng gia Vit Nam v Nht Bn, s 2/2000, tr.5 - 33 171. Montesquieu, Charles-Louis de Secondat de La Brde et de, Tinh thn php lut, Dg: Trn Thanh m, Nxb. Gio dc, H. 1996. 172. Morishima Akio, Nguyn l ca php lut hp ng v B lut Dn s Nht Bn, Thng tin Khoa hc Php l - S chuyn Nghin cu so snh php lut v hp ng gia Vit Nam v Nht Bn, s 2/2000, tr. 47-57.

13 173. Mt s kha cnh php l ca Hip nh Thng mi Vit - M, Thng tin Khoa hc Php l, Chuyn s 3 + 4/2002. 174. Nguyn Th M (Cb), Cm nang php lut v giao kt hp ng thng mi in t, Nxb. L-XH, H. 2006. 175. Nguyn M, Ngh s nhip nh lo thnh Mai Nam - Tng sut mc v v mu nude, Bo Th thao & Vn ha, http://www.thethaovanhoa.vn/327N2009 0708103629339T133/tung-suyt-mac-va-vi-mau-nude!.htm, truy cp 08/7/2009. 176. Hng Ninh, Hon 30 chuyn bay v b ngng np nhin liu,

http://vietnamnet.vn/kinhte/2008/04/776451/ (02/04/2008, 09:22' - GMT+7). 177. Phm Hu Ngh, D tho B lut Dn s (sa i) vi vn ci cch php lut hp ng, Nh nc v Php lut, s 4 (204)/2005, tr. 22-27. 178. Ngh nh 71/2010/N CP ngy 23/6/2010 ca Chnh ph Qui nh chi tit v hng dn thi hnh Lut Nh . 179. Ngh nh 17/2010/N CP ngy 04/3/2010 ca Chnh ph v bn u gi ti sn. 180. Ngh nh 52/2008/N-CP ngy 22/4/2008 ca Chnh ph v qun l kinh doanh dch v bo v. 181. Ngh nh s 153/2007/N-CP ngy 15/10/2007 ca Chnh ph Qui nh chi tit Lut Kinh doanh bt ng sn. 182. Ngh nh 151/2007/ N-CP ngy 10/7/2007 ca Chnh ph v t chc hot ng ca t hp tc. 183. Ngh nh 99/2007/N-CP ngy 13/6/2007 ca Chnh ph v qun l chi ph u t xy dng cng trnh. 184. Ngh nh 79/2007/N-CP ngy 18/05/2007 ca Chnh ph v cp bn sao t gc, chng thc bn sao t bn chnh, chng thc ch k. 185. Ngh nh 78/2007/N-CP ngy 11/5/2007 ca Chnh ph v u t theo hnh thc hp ng xy dng kinh doanh chuyn giao, hp ng xy dng chuyn giao kinh doanh, hp ng xy dng chuyn giao.

14 186. Ngh nh 163/2006/N-CP ngy 29/12/2006 ca Chnh ph v giao dch bo m. 187. Ngh nh s 90/2006/N-CP ngy 6/9/2006 ca Chnh ph Qui nh chi tit Lut Nh 2005 (c thay th bng Ngh 71/2010/N-CP nu trn). 188. Ngh nh s 59/2006/N-CP Ngy 12/06/2006 ca Chnh ph qui nh chi tit Lut Thng mi (2005) v hng ha, dch v cm kinh doanh, hn ch kinh doanh v kinh doanh c iu kin. 189. Ngh nh s 57/2006/N-CP Ngy 09/06/2006 ca Chnh ph qui nh chi tit mt s iu ca Lut Thng mi in t. 190. Ngh nh 20/2006/N-CP ngy 20/02/2006 ca Chnh ph qui nh chi tit Lut Thng mi v kinh doanh dch v gim nh thng mi. 191. Ngh nh s 38/2005/N-CP Ngy 18/03/2005 ca Chnh ph qui nh mt s bin php bo m trt t cng cng. 192. Ngh nh s 05/2005/N-CP Ngy 18/01/2005 ca Chnh ph v bn u gi ti sn. 193. Ngh nh 181/2004/N-CP ngy 29/10/2004 hng dn thi hnh Lut t ai 2003. 194. Ngh quyt s 71/2006/NQ-QH11 ngy 29/11/2006 ca Quc hi kha XI v vic ph chun Ngh nh th gia nhp T chc Thng mi Th gii (WTO) ca Nc CHXHCN Vit Nam v Ph lc. 195. Ngh quyt 45/2005/NQ-QH11 ngy 14/6/2005 ca Quc hi kha XI v vic thi hnh BLDS 2005. 196. Ngh quyt ngy 28/10/1995 ca Quc hi kha IX v vic thi hnh BLDS 1995. 197. Ngh quyt 23/2006/NQ-CP ngy 07/9/2006 ca Chnh ph v mt s gii php nhm y nhanh tin bn nh thuc s hu nh nc cho ngi ang thu theo qui nh ti Ngh nh 61-CP ngy 05/7/1994 ca Chnh ph. 198. Ngh quyt 01/2003/NQ - HTP ngy 16/4/2003 ca Hi ng thm phn TANDTC v hng dn p dng php lut trong vic gii quyt mt s loi tranh chp dn s v hn nhn gia nh.

15 199. Ngh quyt 02/2004/NQ - HTP ngy 10/8/2004 ca Hi ng thm phn TANDTC v hng dn p dng php lut trong vic gii quyt cc v n dn s v hn nhn gia nh. 200. Phm Duy Ngha, Lut Kinh t - Chuyn kho (chng trnh sau i hc), Nxb. i hc Quc gia, H. 2004. 201. Phm Duy Ngha, iu chnh thng tin bt cn xng v qun l ri ro trong php lut hp ng Vit Nam, trong quyn Mt s vn l lun v thc tin v php lut hp ng Vit Nam hin nay, Nguyn Nh Pht & L Th Thu Thy (Cb), Nxb. CAND, H. 2003, tr. 18-24. 202. Phm Duy Ngha, Tip nhn php lut nc ngoi - Thi c v thch thc mi cho nghin cu lp php, Nghin cu Lp php, s 5/2002, tr. 50 - 57. 203. Phm Duy Ngha (Cb), Tm hiu Php lut Hoa K trong iu kin Vit Nam hi nhp kinh t khu vc v th gii, Nxb. CTQG, H. 2001. 204. Khnh Nguyn, Cc Phng cng chng H Ni u qu ti- http://vietbao.vn /Trang-ban-doc/Cac-phong-cong-chung-o-Ha-Noi-deu-qua-tai/75011757/513/, (truy cp ngy 21/ 08/2008). 205. Nh Php lut Vit Php, B lut Dn s (Sa i), K yu Hi tho, H. ngy 23, 24, 25/8/2004. 206. Nh Php lut Vit Php, B lut Dn s (Sa i), K yu Hi tho, H. ngy 28, 29, 30/10/2002. 207. Nh Php lut Vit Php, S pht trin ca php lut v hp ng, trong quyn S pht trin ca php lut dn s v thng mi Php, K yu hi tho, H. ngy 23, 24/9/1997. 208. Nhng qui nh chung ca Lut Hp ng Php, c, Anh, M, Dg: Phm Thi Vit, Nxb. CTQG, H. 1993. 209. Nguyn Tn Php, Giao dch dn s v hiu v hu qu php l ca giao dch dn s v hiu do khng tun th hnh thc, Ta n Nhn dn, S 06/2002, 29-30. 210. Php lnh Ngoi hi s 28/2005/PL-UBTVQH11 ngy 13/12/2005. 211. Php lnh T v trong nhp khu hng ha nc ngoi vo Vit Nam s 42/2002/PL-UBTVQH10 ngy 11/6/2002.

16 212. Php lnh Bo v b mt Nh nc s 30/2002/PL-UBTVQH10 ngy 28/12/2000. 213. Php lnh Bo v quyn li ngi tiu dng s 13/1999/PL-UBTVQH10 ngy 27/4/1999. 214. Php lnh Hp ng kinh t 1989. 215. Nguyn Nh Pht, Minh Bch ha php lut v yu cu t ra i vi h thng php lut trong qu trnh hi nhp kinh t, Nh nc v Php lut, s 1 (201)/2005, tr. 16-20. 216. Nguyn Nh Pht, iu kin thng mi chung v nguyn tc t do kh c, Nh nc v Php lut, trong quyn Mt s vn l lun v thc tin v php lut hp ng Vit Nam hin nay, Nguyn Nh Pht & L Th Thu Thy (Cb), Nxb. CAND, H. 2003, tr. 5 - 17. 217. Hong Ph (Cb), T in ting Vit, Nxb. Nng, Nng 1996. 218. Phng Thng mi v Cng nghip Vit Nam (VCCI) & Chng trnh h tr doanh nghip (DANIDA), Cm nang Hp ng thng mi, H. 2008. 219. To Hu Phng, Php lut kinh t trong thi k i mi: Thc trng v hng hon thin, Nghin cu Lp php, s 7/2002, tr. 55 - 60. 220. inh Th Mai Phng, Thng nht Lut hp ng Vit Nam, Nxb. T php, H. 2005. 221. inh Th Mai Phng, i mi php lut hp ng Vit Nam trong giai on hin nay - Nhng yu cu v mt l lun v thc tin, Nh nc v Php lut, s 4 (204)/2005, tr. 49 - 53. 222. inh Th Mai Phng, Mt s vn c s l lun v thc tin v hp ng dn s Vit Nam, Thng tin Khoa hc Php l, Chuyn 11+12 /2001, tr. 158 173. 223. Nguyn Xun Quang, L Nt, Nguyn H Bch Hng, Lut Dn s Vit Nam, Nxb. HQG, Tp. HCM 2007. 224. Hong Th Kim Qu, Mt s suy ngh v mi quan h gia php lut v o c trong h thng iu chnh x hi, Nh nc v Php lut, s 7 (135)/ 1999, tr. 9 19.

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contract.principles.part1.1995/, accessed on 25 Oct. 2007. 344. Tobin, Philip Chase, 25 Doctrines of Law You Should Know, Algora Publishing, New York 2007 345. Unfair Contract Terms Act of England UCTA, 1977. 346. Uniform Commercial Code of United State of America (UCC). 347. Zweigert, Konrard & Hein Kotz, An Introduction to Comparative Law (Translater from German: Tony Weir), 3rd ed., Clarendon, Oxford 1998.

27 PHN PH LC TM TT CC V VIC TRANH CHP C TRNH BY TRONG LUN N

Ph lc s 01 Quyt nh s 43/2006/DS-GT ngy 08/11/2006 ca HTP TAND TC v Tranh chp hp ng chuyn nhng quyn s dng t27 Nguyn n: c Trnh Th Lc (sinh 1915) vi b n l b Xun Nh. Ni dung tm tt: nguyn n (c L sinh 1915, sng c thn) tha thun bn cho ng Bn mnh t 10.002 m2 ti huyn Nh B, vi gi 2.31 t ng. Sau , c php ca nguyn n, ng Bn chuyn nhng li mnh t trn cho ng Ti vi gi 3.2 t ng. Sau khi lm hp ng ni trn, ng Ti dng mnh t trn th chp cho NH HH vay s tin 3.6 t ng, v c nh nguyn n (c L) k tn cam kt bo lnh bng mnh t ni trn, v mnh t ny vn cn ng tn c L. Sau , ng Ti khng c kh nng tr vn v li cho ngn hng vi s tin ln n hn 4.5 t ng. V th, b n (b Nh) ng mua n ca ng Ti ti Ngn hng HH, theo b s thanh ton ton b n ca ng Ti cho Ngn hng HH, ngn hng HH tr ton b h s t v vn t bo lnh ca c L b n c hp thc ha quyn s dng i vi mnh t ni trn theo lut nh. hp thc ha thng v ny, ngy 27/11/1997, b n yu cu c L lp hp ng ti Phng T php huyn Nh B chuyn nhng cho b n mnh t ni trn. Hp ng ny c ch k xc nhn ca ng Trng phng T php v c ng du ca Phng T php huyn Nh B. Sau , do khon tin m cc bn cn thiu c L cha c thanh ton , nn c L yu cu hy hp ng v cho rng mnh b la di v b p buc phi k vn bn bo lnh cho ng Ti; nu c khng chu k tn bo lnh cho ng ti th s c b mt t v s khng c thanh ton tin chuyn nhng quyn s dng t. y l v n phc tp ko di nhiu nm, c xt x qua nhiu cp, vi nhiu phn quyt tri ngc nhau lin quan ti hnh thc hp ng. Ti n s thm s 2397/DSST ngy 05/11/2004, TAND Tp. H Ch Minh bc yu cu ca nguyn n v cng nhn b n c quyn s dng hp php mnh t ni trn. Bn n ny b khng co. Ti Bn n s 134/DSPT ngy 27/4/2005, Ta Phc thm TANDTC

27

TANDTC, Cc Quyt nh GT ca HTP TANDTC nm 2006, H Ni 2008 , tr. 460 8. V vic ny c x s thm li trong Bn n s 445/2008/DSST ngy 04/4/2008 ca TAND Tp. H Ch Minh v Tranh chp hp ng chuyn nhng quyn s dng t.

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ti Tp. H Ch Minh x y n s thm, theo hng cng nhn hp ng ni trn l c hiu lc. Bn n phc thm b Chnh n TANDTC khng ngh. Ti Quyt nh s 43/2006/DS-GT ca HTP nhn nh c L (nguyn n) b thit hi quyn li chnh ng v tha thun chuyn nhng n ca ng Ti i vi Ngn hng sang cho b n l tha thun bn bn c L c nhn tin chuyn nhng quyn s dng t, nhng thc cht c L khng c nhn tin chuyn nhng t v tin do b Nh tr cho Ngn hng. Cng theo HTP, hp ng chuyn nhng quyn s dng t lp ti Phng T php Nh B l khng c gi tr php l, v theo cc iu 24, iu 26 Ngh nh 31/CP ngy 18/5/1996 th cc hp ng chuyn nhng quyn s hu bt ng sn phi c chng nhn ti Phng Cng chng Nh nc hoc UBND huyn ni c bt ng sn . Trong khi , Hp ng chuyn nhng quyn s dng 10.002 m2 t (l t ny thuc a ht qun l ca UBND Qun 7, Tp. H Ch Minh t ngy 1/4/1997), ngy 27/11/1997 gia c L v b Nh li do ng Vng Huy Ngh, Trng phng T php huyn Nh B, Tp. H Ch Minh k tn, ng du Phng T php huyn Nh B chng thc l khng ng thm quyn theo quy nh ca php lut. Bi vy, HTP hy n phc thm v giao v TAND Tp. H Ch Minh x li theo trnh t lut nh. Ti bn n s 445/2008/DSST ngy 04/4/20008 ca TAND Tp. H Ch Minh cng nhn hp ng chuyn nhng quyn s dng t k vo ngy 27/11/1997 gia b Trnh Th L. (bn chuyn nhng) v b Th Xun Nh (bn nhn chuyn nhng) v hai bn phi tip tc thc hin hp ng vi l do hp ng th hin ch t nguyn ca cc bn, ko di t 1997 v l hp ng c hiu lc i vi cc bn k kt. Hin nay, cc iu kin cng nhn hp ng gia hai bn y : b Nh thanh ton 98,43% gi tr ca hp ng; ng thi tch quan h tranh chp gia b Nh vi ng Ti gii quyt bng v n khc theo th tc chung khi c yu cu. Ph lc s 02 Bn n s 195/2007/KDTM-PT ngy 09/10/2007 ca Ta Phc thm TANDTC ti H Ni v Tranh chp hp ng bo him Nguyn n l Cng ty Vt t vn ti v xy dng cng trnh giao thng vi b n l Cng ty c phn bo him Vin ng. Ni dung tm tt: Ngy 20/12/2004, nguyn n c k hp ng vi b n mua bo him ti sn cho 72 chic xe my hiu STAR. B n cp cho nguyn n n bo him hng ha vn chuyn s 04/01/KD2/91130/0011. Ni dung: b n ng nhn bo him cho l hng ca nguyn n vn chuyn l 72 chic xe hiu STAR nguyn chic 100%, vi qung ng vn chuyn t kho VMEP ng Nai n kho VMEP H Ty. S tin c

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bo him l 916.363.656 ng. iu kin bo him theo quy tc bo him hng ho vn chuyn trong lnh th Vit Nam v khng bo him cho mi ri ro xy ra trc 11h00 ngy 20/12/2004. T l bo him l 0,1% bao gm VAT vi s tin phi np l 916.000 ng. Nguyn n xc nh n bo him c b n chp nhn trc 11h00 20.12.2004. Pha b n cho rng: Theo bo co ca nhn vin cng ty, khong 11h10, b n mi nhn c in thoi ca nguyn n xin mua bo him. Thi gian b n giao n bo him cho nguyn n l khong 11h30 pht. Lc ny, l xe 72 chic STAR pht chy trong Bnh nh. Nh vy pha nguyn n c du hiu trc li bo him. Ngoi li trnh by trn, pha b n cng xc nh khng c ti liu no khc chng minh v thi im cc bn giao kt hp ng. Cng ngy, trn ng vn chuyn n a phn x M Trinh, huyn Ph M, tnh Bnh nh, s hng ha 72 chic xe my b chy. Theo cc chng c m nguyn n xut trnh th s kin chy xe ch hng v chy c 72 chic my ni trn xy ra sau 11h cng ngy 20/12/2004. Nguyn n yu cu b n bi thng tr gi l hng c bo him l 916.363.656 ng, nhng b n khng ng , vi cc l do: n bo him c giao kt vo 11h ngy 20/12/2004. Ti thi im ny ti sn c bo him khng cn tn ti v chy trc 11h ngy 20/12/2004. Ti bn n s 21/2007/KDTM-ST ngy 05/3/2007 ca TAND Tp. H Ni quyt nh: n bo him hng ha vn chuyn s 04/01/KD2/91139/0011 ngy 20/12/2004 c hiu lc; Buc b n chi tr cho nguyn n s tin bo him l 916.363.656 ng v 233.580.000 ng tin li, v theo theo nhn nh ca ta cp s thm th n bo him ngy 20/12/2004 c ni dung th hin hp ng c giao kt lc 11h00: Theo quy trnh nu trn th thi im b n k ng du chp nhn vo n c ni dung yu cu ca nguyn n chnh l thi im giao kt hp ng. Do , thy cn da trn c s iu kin thi gian bo him ti n yu cu xc nh thi im giao kt hp ng l 11h00 ngy 20/12/2004; cn thi im xy ra v chy l 11h3 v c c s khng nh 72 chic xe my STAR c vn chuyn trn t bin kim sot 29S-1059 xy ra chy sau 11h00 ngy 20/1/.2004. Do , b n c trch nhim tr tin bo him theo hp ng ngy 20/12/2004. Tuy nhin bn n s thm ny b Ta Phc thm TANDTC ti H Ni x hy v cha cc chng c cn thit c th a ra mt phn quyt nh vy. Tuy khng ni r l hp ng bo him c hiu lc hay cha, nhng quan im ca cp phc thm dng nh cng cng nhn hp ng bo him ny l c hiu lc. Bn n phc thm khng a ra no lp lun no phn bc vic cp s thm xc nh thi im c hiu lc ca hp bo him l ngy

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11h ngy 20/12/2004 l ng hay sai. Ta cp phc thm ch bn khon v thi im xy ra s kin bo him: c bit xc nh thi im chy l mt chng c quan trng quyt nh ng li xt x v kin. Do cn phi c thc nghim iu tra xc nh: t khi li xe (ng Nhn) v ch qun cm (ng Phng) bt u pht hin thy chy, ri ng Phng chy vo ni in thoi bo chy l thi gian bao lu ? (theo ti liu iu tra th tin ban u bo chy c gi lc 11 gi 3 pht 6 giy. T cp phc thm yu cu cp s thm khi x li v n cn chng minh c thi im xy ra s kin bo him. Ph lc s 03 Quyt nh GT s 08/KDTM-GT ngy 08/12/2005 ca HTP TANDTC v v n tranh chp hp ng mua bn hng ho, dch v bo tr trm bin p Nguyn n l Cng ty TNHH thng mi - xy dng, bo tr, dch v k thut in Si Gn (sau y vit tt l Cng ty SEECOM), vi b n l Cng ty pht trin khu cng nghip Long Bnh (sau y vit tt l Cng ty LOTECO). Ni dung tm tt: Trong v n ny, cc bn tranh chp v 3 hp ng lp t ng dy ti din v trm bin p v mt hp ng mua bn 04 ng h o in vn nng. y, chng ta ch kho cu kha cnh php l ca hp ng mua bn 04 ng h o in vn nng. Theo cc ti liu c trong h s v n, ngy 22/4/2003, Cng ty SEECOM c bn fax cho hng 04 ng h o in vn nng cho Cng ty LOTECO, tng gi tr theo n t hng l 6.006 USD tng ng 92.942.850 VN. Cng ngy, Tng Gim c Cng ty LOTECO l ng KAZUMASA FUJITA k chp nhn trc tip vo giy cho hng (?) ca bn bn (Bn fax ca Cng ty SEECOM ). Theo pha SEECOM, hai bn giao nhn 04 ng h o in vo ngy 22/4/2003. Ngy 26/6/2003 Cng ty LOTECO c vn bn gi Cng ty SEECOM v vic thanh ton n tn ng ca cc hp ng. Trong c nu vic bo gi i vi 04 ng h o in vn nng ca Cng ty SEECOM l qu cao so vi th trng v Cng ty LOTECO tnh li gi thp hn so vi gi ban u. Ngoi ra, LOTECO khng c khiu ni g khc. Do Cng ty LOTECO vi phm ngha v thanh ton s tin cn li, nn ngy 6/6/2004 Cng ty SEECOM c n khi kin n TAND thnh ph H Ch Minh, yu cu Cng ty LOTECO phi thanh ton khon tin mua ng h o in vn nng l: 42.942.850 ng, v tin pht qu hn thanh ton cng cc thit hi kinh t khc. Pha LOTECO khng tha nhn vic tng gim c k tn vo bn fax l giao kt hp ng, m ch tha nhn l ngh giao kt hp ng. Vic tr tin ni trn khng phi l thanh ton 50 triu ng cho 04 ng h o in vn nng, m l thanh ton

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cho cc hp ng trc , nhng pha Ngn hng ngoi thng Vit Nam t hch ton s tin 50 triu ng trong 100 triu ng chi thanh ton cho 04 ng h, ch bn cht ca khon tin ni trn khng phi l thanh ton cho 04 ng h. Ti bn n kinh t s thm s 239/KTST ngy 21/9/2004, TAND thnh ph H Ch Minh quyt nh: Chp nhn yu cu ca Cng ty SEECOM: Cng ty pht trin khu cng nghip Long Bnh (LOTECO) c trch nhim thanh ton cho Cng ty TNHH thng mi - xy dng - vn hnh - bo tr - dch v k thut in Si Gn (SEECOM) s tin cn li do cha thanh ton tin 04 ng h o in vn nng: 42.942.850 ng. Ngy 23/9/2004, Cng ty LOTECO c n khng co khng ng vi quyt nh ca bn n kinh t s thm nu trn (tr hp ng s 9-2003/SEECOM-HKT). Ti bn n kinh t phc thm s 03/KTPT ngy 17/01/2005, To phc thm TAND ti cao ti Thnh ph H Ch Minh xc nh fax cho hng ca SEECOM c ch k chp nhn cho hng ca LOTECO khng phi l hp ng m ch l ngh giao kt hp ng, nn quyt nh: Chp nhn mt phn yu cu khng co ca LOTECO, sa bn n kinh t s thm nh sau: Cng ty SEECOM phi nhn li 04 ng h o in vn nng (Power -Monitor Unit) nh ghi trong bin bn giao nhn hng ho ngy 22/4/2003 do LOTECO giao tr v c trch nhim hon cho LOTECO s tin 50.000.000 ng. Bn n ca cp phc thm b Chnh n To n nhn dn ti cao khng ngh bi Quyt nh khng ngh s 04/2005/KT-TK ngy 15/8/2005, vi l do To n cp phc thm nhn nh khng ng v vic xc lp quan h hp ng mua bn i vi 04 ng h o in vn nng qua bn fax v ngh HTP - TAND ti cao xt x gim c thm theo hng hu mt phn bn n kinh t phc thm nu trn. Cp gim c thm xc nh vic mua bn 04 ng h o in vn nng vo ngy 22/4/2003 gia LOTECO vi SEECOM c gi tr php l v vic tng gim c ca LOTECO k tn vo bn fax ca SEECOM th hin l giao kt hp ng. To n cp phc thm nhn nh y khng phi hp ng vit, ch l phiu t mua hng v khng ng du ca Cng ty, nn mi ch l ngh giao kt hp ng ch cha phi l hp ng, buc Cng ty SEECOM nhn li 04 ng h o in vn nng; trong khi cha kim tra i chiu vi cc quy nh ti iu 11 Php lnh hp ng kinh t v iu 51, iu 55 Lut thng mi, l cha ng php lut. Bi vy, HTP tuyn hu bn n kinh t phc thm s 03/KTPT ngy 17/01/2005 ca To phc thm TAND ti cao ti Thnh ph H Ch Minh v gi nguyn bn n kinh t s thm s 239/KTST ngy 21/9/2004 ca TAND Thnh ph H Ch Minh.

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Ph lc s 04 Quyt nh GT S: 23/2008/DS-GT ngy 28/8/2008 ca HTP - TANDTC V v n Tranh chp hp ng chuyn nhng quyn s dng t Nguyn n l B Nguyn Th M Hnh, vi b n l b Ng Th Thu Hoa. Ni dung tm tt: u thng 10/1994, nguyn n nhn chuyn nhng l t 2000 m2 ca Cng ty Xy dng v Pht trin nh qun 4 (sau y gi tt l Cng ty) vi gi 390 lng vng (Hp ng khng ghi ngy thng, ch ghi nm 1994). Nguyn n ng tin t 1 cho cng ty l 240 lng vng, cn thiu 150 lng v nguyn n chuyn nhng li l t ny cho b n vi gi 540 lng vng (chnh lch 150 lng so vi gi ca Cng ty). Theo s t tha thun ca hai bn, ngy 10/10/1994 b n giao li cho b 240 lng vng thanh ton s vng m b giao t 1 cho Cng ty. Ngy 15/10/1994 nguyn n c n gi Cng ty xin i tn ca nguyn n trong hp ng chuyn nhng t sang tn ng H Vn Thun (chng ca b n). Cng ngy, Cng ty k hp ng chuyn nhng nh t s 180/HCN vi bn mua ng tn ng H Vn Thun, ni dung tng t nh hp ng k vi nguyn n (b Hnh); nguyn n k thay ng Thun mc i din bn mua. Hp ng ny c hiu lc t ngy 10/10/1994. ng Thun c cng ty tm giao t ngy 29/8/2005. Sau nhiu ln yu cu b n tr s vng cn thiu, nhng b n ln trnh, khng chu thanh ton, nguyn n khi kin yu cu ta n gii quyt. Bn n s 194/2007/DS-ST ngy 30/01/2007, TAND thnh ph H Ch Minh quyt nh: hp ng gia ng Thun giao kt vi Cng ty ngy 15/10/1994 (c hiu lc t 10/10/1994) l hp ng v hiu, nguyn n tr li cho b n s vng nhn; ng Thun tr li phn t c Cng ty tm giao nguyn n c tip tc thc hin hp ng vi cng ty. B n khng co Bn n s thm. Ta Phc thm TANDTC ti Tp. H Ch Minh x phc thm ti Bn n s 122/2007/DSPT ngy 24/4/2007: tuyn hy hp ng s 180/HCN gia ng Thun (do b Hnh k thay) vi Cng ty; hy t n xin i tn chuyn nhng in ngy 15/10/1994 ca b Hnh; cc vn khc gii quyt nh phn quyt ca cp s thm. Quyt nh gim c thm s 23/2008/DS-GT ngy 28 thng 8 nm 2008, HTP TANDTC phn x: Hu bn n dn s phc thm s 122/2007/DSPT ngy 24/4/2007 ca To phc thm TANDTC ti thnh ph H Ch Minh v hy bn n dn s s thm s 194/2007/DS-ST ngy 30/01/2007 ca TAND Tp. H Ch Minh v v n dn s tranh chp

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hp ng chuyn nhng quyn s dng t gia nguyn n l b Nguyn Th M Hnh vi b n l b Ng Th Thu Hoa. Theo ta cp gim c thm, Hp ng sang nhng nh t gia Cng ty vi b Hnh l hp php, nhng b Hnh t nguyn chm dt hp ng v c Cng ty ng , nn l t 2000m2 vn thuc quyn s dng ca Cng ty. V hp ng (b Hnh k thay ng Thun), cp gim c thm cho rng, tuy khng c vn bn v vic ng Thun y quyn cho b Hnh k thay ti hp ng nu trn, nhng b Hnh l ngi ng dm vng cho Cng ty ng Thun nhn chuyn nhng nh t, ng Thun khng phn i vic b Hnh k thay v vn thc hin hp ng sang nhng nh t vi Cng ty (ng Thun c Cng ty tm giao t vo ngy 29/8/2005), nn vic b Hnh k thay ng Thun ti hp ng sang nhng t vi Cng ty khng vi phm iu 154, iu 155 B lut dn s c hiu lc t ngy 01/7/1996. V s tin chnh lch, theo cp gim c thm nhn nh: b Hnh cha c quyn s dng t, cn v chng ng Thun khng thc hin tha thun ming v vic tr s tin chnh lch cho b Hnh; do , c hai bn u c li, nn s vng chnh lch (150 lng) phi c chia i, mi bn chu 1/2. Bi vy, ta gim c thm phn x: cng nhn hiu lc ca hp ng s 180/HCN gia ng Thun (do b Hnh k thay) vi Cng ty; buc b n tip tc thanh ton cho nguyn n khon chnh lch 75 lng vng. Ph lc s 05 Bn n s 14/GT ngy 26/01/1999 ca Ta Dn s TANDTC v hp ng tng cho nh t Nguyn n l b Nguyn Th Dung vi b n l ng Nguyn i . Ni dung tm tt: Nm 1979, c Tng c lm vn bn c y ch k ca hai bn l c Tng v ng vi s chng kin ca b Dung (con gi c Tng) chuyn nhng 2 cn nh 7 gian din tch 325 m2 cho b n, vi iu kin l b n phi chm sc nui dng c; khi c cht th mai tng c, chm lo gi tt v cng gi cho c v ng b ca c. C Tng giao nh; b n nhn v hon tt th tc quyn s hu nh vo nm 1994. Sau khi nhn nh, b n sa cha, lm li thnh nh mi (4 gian lp ngi v hai chi bp) v giao nh cho con tn l Dng chm sc v chng c Tng. Nm 1986, c ng cht, Dng lo mai tng, cng gi y . Nm 1993, Dng vo Nam sinh sng, khng c ai chm sc c b. V th, nguyn n (b Dung l con gi hai c) n c b v trc tip nui dng, chm sc. Nm 1995, nguyn n khi kin i li nh t, v cho rng b n khng chm sc c b y nh cam kt.

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V vic c TAND huyn Nam Ninh xt x s thm ti Bn n s 60/DSST ngy 29/3/1996: cng nhn hp ng tng cho gia c Tng vi b n c hiu lc; buc b n phi thanh ton 7 triu ng tin chi ph nguyn n thc hin vic chm sc, nui dng c b. Bn n s thm b khng co. Ngy 23/5/1996, TAND tnh Nam H (c) x phc thm ti Bn n s 39/DSPT, tuyn bc khng co ca nguyn n, ghi nhn s t nguyn ca b n thanh ton cho nguyn n 9 triu ng. Bn n phc thm b khng ngh. Ta Dn s TANDTC xt x li theo th tc gim c thm ti Quyt nh s 14/GT-DS ngy 26/01/1999, tuyn hy bn n phc thm, giao v n v TAND tnh Nam nh x li theo hng: ng l phi hy hp ng tng cho nh gia c Tng vi b n, v theo cp Gim c thm y l hp ng tng cho nh c iu kin v nhng iu kin c t ra mi ch thc hin c mt phn. Nhng do ng nhn nh t, lm li ton b v thc hin vic chm sc v chng c Tng trn mt thi gian di nn cn chp nhn cho ng c s hu, s dng nh t ca c Tng v xem xt vic thanh ton ngha v, thanh ton chnh lch ti sn tha ng. Ph lc s 06 Bn n s : 583/2007/DSPT ngy 06/11/2007 TAND tnh AN GIANG V/v tranh chpHp ng S dng kios Nguyn n: ng NGUYN HU PHC vi b n: ng NGUYN BNH X ch Doanh nghip t nhn (DNTN) Nh Ni dung tm tt: Gia nguyn n vi b n tha thun giao kt hp ng s dng kios ngy 21/10/2006. Theo , nguyn n c nhn s dng 01 kios s 45 l B (theo phng thc bc thm) l l bn vi, qun o may sn ti Trung tm thng mi Du lch Ni Sam thuc Phng Ni Sam, Th X Chu c v c trch nhim tr cho b n 20.000.000. Tuy ni dung hp ng khng th hin v tr kios s 45 l B, nhng cc bn u tha nhn kios ny c v tr c xc nh theo Bn phn l ch c dn ti ch u B v UBND Phng Ni Sam. Theo bn phn l ny th v tr kios s 45 l B ng Phc bc thm c nm v tr tip gip li i chnh vo ch. n khi giao kios, b n da trn mt bn khc giao cho nguyn n mt kios c v tr hon ton khc vi v tr c xc trong Bn ba u. Kios 45 l B (theo Bn ban u) c giao cho mt ngi khc vi ngy trc khi nguyn n ti nhn kios. Do b n khng giao ng kios xc nh khi bc thm, nn nguyn n khi kin yu cu Ta n gii quyt. Pha b n cho rng Bn phn l c nim yt khi bc thm khng phi l bn chnh thc c c quan c thm quyn ph duyt, c s sai lch v v tr l sp so vi bn

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chnh thc, trong c kios s 45 l B. Bi v, sau khi bc thm xong, b n pht hin Bn phn l ch c nim yt khng ng vi bn gc, v c bo vi UBND TX. Chu c, UBND Phng Ni Sam. ng thi, b n cng lin h vi Cng ty Ngc Khnh, n v lp d n di di ch thay i Bn phn l ch cho ng. Sai st trong vic v bn phn l trong phng n di di ch l do Cng ty Ngc Khnh. Cc c quan hu quan khi k ph duyt cng thiu kim tra nn khng pht hin ra sai st. Tuy vy, theo ng Nguyn Vn Pht Trng Phng Kinh t TX. Chu c c vn bn xc nh: UBND Phng Ni Sam c nim yt Bn phn l ch, bn c ch k, xc nhn ca UBND Phng Ni Sam, Phng Kinh t, DNTN Nh v UNBD Th X Chu c. l bn phn l ch nh nguyn n nu trn (Bt lc 64). Ti bn n s 100/2007/DS-ST ngy 08/08/2007 ca TAND Tx. Chu c x: Bc yu cu ca nguyn n i tip tc thc hin hp ng s dng kios k kt ngy 21/10/2006 gia ng Nguyn Hu Phc vi ng Nguyn Bnh X Ch DNTN Nh ; ng X c trch nhim hon tr li cho ng Phc s tin 20 triu ng; buc ng X bi thng cho ng Phc s tin 3.615.000 ng. Bn n trn b nguyn n khng co v b TAND tnh An Giang x hy bi Bn n phc thm s 583/2007/DSPT 06/11/2007. Theo quan im ca cp phc thm, th ng Phc hon ton khng c li trong vic thay i v tr kios. Nhm bo m quyn li cho ng Phc khng b mt vic kinh doanh qun o may sn l ngnh ngh chnh ca gia nh ng Phc t trc n nay, khi gii quyt li v n cn phi xem xt vic tip tc thc hin hp ng giao kios s 45 l B v tr tip gip li i chnh vo ch trung tm cho ng Phc. Hoc nu khng th giao kios c th phi nh gi kios v tr ny theo gi sang nhng thc t trong cc h kinh doanh bi thng thit hi cho ng Phc. Ph lc s 07 Quyt nh Gim c thm s 07/2008/Q GT ngy 20/6/2008 ca HTP TANDTC v vic Tranh chp hp ng xy dng Nguyn n l Tng cng ty xy dng ng thy (Vinawaco) kin b n l Cng ty Lin doanh Xi mng Holcim Vit Nam (MSC); Ngi c quyn li lin quan l Cng ty Dredging International V.N. (gi tt l DI). Ni dung tm tt: Ngy 20/5/1995, Tng cng ty xy dng ng thy (Vinawaco) tha thun vi Cng ty Lin doanh Xi mng Holcim Vit Nam (MSC) k Hp ng o, no vt knh v xy dng (gi tt l hp ng thu chnh) no vt mt lung tu (knh dn) di 16,5 km v vng quay tu cho tu bin vo ly hng v ch nguyn vt liu. Ngy 08/9/1995, VINAWACO k hp ng thu ph vi Cng ty Dredging International V.N. (gi

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tt l DI) thc hin cng vic trn. Hp ng thu ph ny c MSC chp nhn (theo ng iu 4.1 ca hp ng chnh). Ngy 15/11/ 1995, khi DI ang thi cng th h thng thit b no vt (my o v c ng dn) gp tr ngi, b hao mn nng v gp ong v san h. iu ny tri vi nhng thng tin ban u m pha MSC cung cp ti vn bn s S.572/94/4 lm c s mi d thu v k hp ng xy dng. Theo vn bn ny, lp t c no vt khng c , si m ch l t st mm. Cng cn c vo vn bn ny, Vinawaco bo gi tng ng vi yu cu v a cht v xc nh loi thit b chuyn dng ph hp o t st mm thc hin cng trnh. Ngy 05/3/1996, Vinawaco gi vn bn khiu ni s 1 n MSC yu cu tr thm chi ph do thit b b hao mn, h hng; chi ph bo tr, sa cha gia tng; nng sut gim, thi gian thi cng ko di, chi ph vn chuyn ph tri t tnh trng thay i nu trn ca thc t so vi cam kt trong hp ng. Ngy 25/3/1996, Vinawaco c vn bn thng bo cho MSC v vic thit b ca mnh khng th tip tc thi cng c loi a cht ca cng trnh, ng thi ngh cho thng lng li gi hp ng tng ln 2,97 USD/m3 cho ph hp. Ngy 01/04/1996, Vinawaco, MSC v DI c cuc hp 3 bn ti H Ni. Cc bn thng nht theo sng kin ca Vinawaco ch nh mt gim nh vin c lp gim nh gi tr tn tht xy ra do cng trnh c , si. Ngy 02/4/1996, c s ng ca MSC, Vinawaco v DI k Ph lc hp ng s 01. Theo , DI s dng thit b Rubens o th on lung bn ngoi v c thanh ton trn c s ngy cng (55.500 USD/ngy). Ngy 09/6/1996, vi s chp nhn ca MSC, Vanawaco v DI k Ph lc hp ng s 02. Theo , DI thi cng on cn li v s c thanh ton trn c s m3 thi cng. Trong hai bn ph lc u ghi r, trong khi thi cng, nu thit b ca DI gp v san h/t st cng gy thit hi my mc, tng ph tn th DI c tr thm chi ph cn c vo gim nh vin c lp. Cc vn kin ph lc 01 v 02 u c ch k ca i din MSC (Ph TG). Ngy 12/7/1996, MSC ch nh X nghip Kho st Xy dng s 4 (vit tt X nghip s 4) v DI ch nh cng ty Van Woerkom (WT) lm gim nh vin c lp cng gim nh s vic v tn tht xy ra cho DI. Nhng n ngy 03/8/1996, X nghip s 4 rt lui vi l do l khng c thit b chuyn dng. V vy, ch cn WT tip tc cng vic gim nh. Ngy 15/11/1996, Cng ty WT hon tt bo co gim nh gi cho cc bn, trong xc nh chi ph thc t tng thm ca DI do cc thit b gp phi lp t c nhiu v si l 2.866.650 USD. Ngy 19/7/1996, cng trnh hon tt. Ngy 24/7/1996, cc bn k bin bn

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bn giao. Ngy 25/7/1996, k bin bn bn giao ton b cng trnh v MSC a vo s dng. Ngy 28/7/1996, Vinawaco gi th yu cu MSC thanh ton chi ph tng thm l 2.866.650 USD. Do pha MSC khng chu thanh ton, nn Vinawaco khi kin MSC ra ta yu cu ta n buc MSC phi thanh ton cc khon 2.866.650 USD v tin li pht sinh; Pha MSC phn i yu cu ca Vinawaco, vi cc l do: (i) Thit hi ni trn khng phi l thit hi ca Vinawaco, m ca mt bn khc v khon ny cha c bt k c quan c thm quyn no cng nhn; (ii) Tn ti ca ong v si khng phi l tr ngi khch quan v khng d liu c vi Vinawaco, v S tay thit k v thi cng cng trnh c ghi ch l c th c ong khi thi cng khu vc a cht ny; (iii) Ph lc 01 v Ph lc 02 ca hp ng khng rng buc ngha v vi MSC, v theo MSC vic k tn xc nhn vo Ph lc ch l thc hin theo qui nh ti iu 4.1 ca hp ng chnh th hin s c bit vic Vinawaco k hp ng vi DI, ch khng c ngha l chp nhn gi tin m Vinawaco tha thun vi DI. Ngoi ra, MSC cng khng tha nhn bo co ca t chc gim nh v cho rng bo co ny khng khch quan v khng hp l v y l t chc do DI n phng ch nh. T , t chi tt c cc yu cu ca pha Vinawaco v ca DI. Bn n Kinh t s thm s 291/KTST ngy 13/12/2004 ca TAND Tp. H Ch Minh buc MSC thanh ton cho Vinawaco cc khon gm 3.766.650 USD (gm c 2.866.650 USD do gi tr thit hi gia tng trong hp ng); Bn n Kinh t phc thm s 55/KTPT ngy 30/3/2005 ca Ta Phc thm TAND TC ti Tp. H Ch Minh x hy ton b Bn n s 291/KTST ngy 13/12/2004 ca TAND Tp. H Ch Minh cho tin hnh gim nh li; Bn n s 342/2006/KDTM-ST ngy 12/7/2006 ca TAND Tp. H Ch Minh tuyn bc ton b yu cu ca Vinawaco, v: Kt qu gim nh ca Cng ty Van Woerkom l khng hp l v khng c thc hin theo th tc lut nh, nn khng c hiu lc rng buc vi MSC; vic gim nh li l khng th thc hin c na (theo xc nhn ca c hai bn), nn khng c c s chp nhn yu cu ca pha nguyn n. Bn n Phc thm s 04/2007/KDTM PT ngy 17/01/2007 Ta Phc thm: cc bn Ph lc s 01, s 02 gia Vinawaco k vi DI khng c gi tr rng buc i vi MSC; y khng phi l tr ngi khch quan; thit hi do hao mn my mc thit b ca DI l c tht, nhng MSC khng c li dn n thit hi ny. Ta cn gii thch vic ng Nguyn Ngc Anh (Ph tng gim c MSC) k xc nhn ca pha MSC vo cc ph lc ni trn nh sau: y l cam kt ca nh thu chnh vi nh thu ph, khng phi l s cam kt gia nh thu chnh vi nh u t. Vic ng Nguyn Ngc Anh k chp nhn cho nh thu chnh v nh thu ph thc hin ph lc ch khng cam kt thanh ton cho nh thu chnh. T , bc ton b yu cu ca nguyn n.

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Theo Ta cp Gim c thm: Ta cp s thm v cp phc thm khng xc nh ng trch nhim ca MSC trong vic thc hin Ph lc 01 v 02, m cho l ph lc 01, 02 ch n thun l tha thun gia nh thu chnh vi nh thu ph, ng Ph Tng Gim c Nguyn Ngc Anh k l khng c y quyn i din MSC k vo Ph lc ny. Nhn nh ny khng ng. Do Ph lc ny c lp ra v thc hin, cc bn khng c khiu ni g, nn phi coi ph lc hp ng vi nh thu ph DI l tha thun gia ba bn, Vinawaco, MSC, DI v c ba bn u c trch nhim, ngha v phi thi hnh cac tha thun trong cc ph lcT , Cp gim c thm hy c n s thm v n phc thm giao h s v n v TAND Tp. H Ch Minh x li s thm theo th tc chung. Ph lc s 8 Bn n dn s phc thm s 613/2007/DS-ST ngy 13/6/2007 ca TAND Tp. H Ch Minh v vic Tranh chp hp ng chuyn nhng quyn s dng t Nguyn n l b Nguyn Tng Minh, vi b n l ng Phm Vn t v b Nguyn Th Kim Phng. Ni dung tm tt: ngy 09/6/2005, nguyn n c lp giy tay nhn sang nhng ca b n mt ming t din tch 6 m x 14 m, ta lc ti tha 14 1 t Bn s 21, p Nam Ln, x B im, huyn Hc Mn (nay l tha 14 t bn s 21), vi gi 394,8 triu ng, t cc 80 triu ng. Hp ng cng tha thun pha b n c trch nhim lm th tc chuyn nhng quyn s dng t cho nguyn n. Cc bn thc hin hp ng: lp bn hin trng, v tr t, tin hnh cc th tc chuyn nhng, hp ng chuyn nhng c UBND x B im chng thc ngy 19/8/2005. Tuy vy, n ngy 05/9/2005, UBND huyn Hc Mn tr li cho nguyn n bit l khng chp nhn h s chuyn nhng v Din tch t chuyn nhng c chiu di vi phm l gii, khng qui chun xy dng nh.28 Nguyn n cho rng, mnh mua t lm nh , m nu c quan chc nng t chi vic cp php xy dng th mc ch hp ng khng th t c. V th, nguyn n yu cu c hy hp ng v ly li tin cc 80 triu ng. B n khng ng , v cho rng, vic c quan chc nng qui hoch l gii th no, b n hon ton khng bit, v b n c nh nc cp giy chng nhn quyn s dng t, v trn giy chng nhn ny hon

Din tch chun xy dng nh c qui nh ti: Theo qui nh ti iu 6 khon 1 Quyt nh s 135/2007/Q-UBND ngy 08/12/2007 ca UBND Tp. H Ch Minh Ban hnh Quy nh v kin trc nh lin k trong khu th hin hu trn a bn thnh ph H Ch Minh, th din tch t ti thiu c cp php xy dng mi nh l 36 m2, chiu rng mt tin v chiu su so vi ch gii xy dng khng nh hn 3,0m

28

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ton khng c thng tin g v vic l t b vi phm l gii. Hn na, cc bn khng c tha thun vic mua t l ct nh. Nguyn n t nguyn mua th b n t nguyn bn; vic s dng t lm g l vic ca nguyn n. Trn thc t, sau ngy cc bn giao kt hp ng ti UBND x B im, th Phng Qun l th huyn Hc Mn c cng vn s 259/TT-QLT ngy 03/10/2005 hi v trng hp trn, v UBND huyn Hc Mn c Cng vn s 204/UBND-QLT ngy 14/7/2006 tr li nh sau: Phn din tch m cc ng s tranh chp ti hp ng chuyn nhng quyn s dng t ngy 19/8/2005 c v tr 02 mt tin ng l Nam Ln 5 v B im 8. Hin nay, ng Nam Ln c UBND huyn Hc Mn ph duyt l gii l 12 mt, cn ng B im ang trnh UBND Tp. H Ch Minh duyt l gii 20 mt. V ngy 05/9/2005, Phng Qun l th huyn Hc Mn cng c Vn bn s 653/QLT C tr li cho nguyn n nh sau: Cnh di, din tch tha t nhn chuyn nhng khng qui chun xy dng, do din tch cn li ca tha t sau khi qui hoch l 12,40m2. Bn n dn s s thm s 115/2007/DSST ca TAND huyn Hc Mn tuyn x: hy hp ng sang nhng t ngy 19/82005 gia cc bn; buc b n tr li tin cc cho nguyn n. Bn n dn s phc thm s 613/2007/DS-PT ca TAND Tp. H Ch Minh: y n s thm, hy hp ng sang nhng t gia cc bn v buc b n phi tr li tin cc cho nguyn n. L do: (i) hp ng mi c xc nhn ca UBND x l cha hon tt th tc theo qui nh; (ii) Vic mt phn din tch t nm trong qui hoch l gii khi giao dch v k kt, cc bn ng s khng bit, nn y l li khch quan ca hai bn ng s.29 Bi vy, Ta cp phc thm y n s thm. Ph lc s 9 Bn n s 1132/2006/DS-PT ngy 09/11/2006 ca TAND Tp. H Ch Minh v hp ng mua bn nh Nguyn n l ng Nguyn Vn Bi, b Nguyn Th Kim Tin, vi b n l ng Nguyn Hng Khanh, b V Th Bch Thun. Ni dung tm tt: b n lp hp ng (cha c cng chng) ngy 13/9/2005 bn cho nguyn n cn nh s 8 ng s 10, phng 16, qun G Vp, vi 850 triu ng. Hai bn cng tin hnh t cc 100 triu ng. Trong hp ng cng c ni r l ton b din tch nh 117,10m2 khng nm trong khu qui hoch phi gii ta, bn mua c ngha v

29

Trch nguyn vn bn n.

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thanh ton tin ng tin ; Nu bn bn khng bn th n gp i, bn mua khng mua th b mt cc. Giy ch quyn cn nh c cp cho nguyn n ngy 24/7/2003 cng khng th hin l nh b qui hoch m rng l gii. Sau khi k kt hp ng v t cc cho bn bn, nguyn n mi c UBND qun G Vp (y quyn cho Phng QLT qun) tr li bng Cng vn s 169/UBND- QLT ngy 14/7/2006: cn nh s 8 ng s 10, phng 16, qun G Vp c din tch 117,10m2 thuc khu vc b qui hoch gii ta, nn cn nh ny khng iu kin cp php xy dng nh mi. V th, nguyn n yu cu hy hp ng v ly li tin cc, nhng b n khng ng , v cho rng mnh khng c li trong vic ny. TAND Qun G Vp x chp nhn yu cu ca nguyn n, hy hp ng mua bn nh ngy 13/9/2005 v buc b n hon tr tin cc cho nguyn n. B n khng co. TAND Tp. H Ch Minh x phc thm tuyn y n s thm. theo quan im ca ta cp phc thm: khi kt kt hp ng ngy 13/9/2005, cc bn u khng bit n tnh trng cn nh b qui hoch gii ta m rng l gii, iu c th hin trong Giy chng nhn quyn s hu nh v quyn s dng t ca cn nh s 8 ng s 10, phng 16, qun G Vp c cp ngy 24/7/2003 nn tt c cc vn trn khng c th hin trong hp ng. y l nguyn nhn khch quan c hai bn u khng lng trc c s vic nu trn. Do , vic ng Bi, b Tin khng ng tip tc mua nh vi nhng l do nu trn l hon ton chnh ng. Ph lc s 10 Bn n DSPT s 412/DSPT ngy 15/3/2003 ca TAND Tp. H Ch Minh xt x v vic "Tranh chp Hp ng chuyn nhng quyn s dng t" Nguyn n l Cng ty c phn Si gn ITTC v cc nhn chng: ng Phng, b Thanh, b Thun, ng Chu; vi cc b n l ng Lu Vn Su, v cc c nhn khc nh b Tuyt, b Tin, b Tuyn, b Tm, b Chi, ng Hong, ng Vn. Tm tt ni dung: Ngy 20/12/2001 cc b n v cc nguyn n k Hp ng chuyn nhng quyn s dng t cho cc nguyn n, din tch 5.000m2 vi gi 280.000 ng/m2. t cha c giy chng nhn quyn s dng t. Bn bn nhn tng cng l 600.000.000 ng tin cc v giao cho bn mua mt giy chng nhn quyn s dng t tn ng Su. Trong s tin 600.000.000 ng ng Su b Tuyt nhn 300.000.000 ng, b Tin v cc con nhn 300.000.000 ng.

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Thng 02/2003 b Tin c cp giy chng nhn quyn s dng t nhng bn bn khng lm c th tc sang tn cho bn mua do t nm trong khu quy hoch vi din tch 6.214.328m2, v b nh nc thu hi c th hin bi Quyt nh s 1997/Q -UB ngy 10/5/2003 ca Ch tch UBND Thnh ph H Ch Minh. Do bn mua kin xin hy hp ng i li tin cc v tin li theo khon 2, 3 iu 3 ca hp ng. ng Su i din cho cc c nhn bn bn khng ng v yu cu c thc hin tip hp ng hoc y quyn cho bn mua nhn tin n b, khng ng tr tin li. Ring b Tin v cc con ng hy hp ng, tr li cho bn mua 150.000.000 ng, khng ng tr li. Ta cp s thm tuyn x: cho rng C hai bn bn v bn mua u xc nh khi k hp ng khng bit t nm trong khu quy hoch khng c php sang tn. Do vic khng lm c th tc l do yu t khch quan, khng bn no c li trong vic hu hp ng chuyn nhng quyn s dng t, nn cho php nguyn n (bn mua) c hy hp ng chuyn nhng quyn s dng t, v buc cc b n phi hon tr li khon tin nhn cng vi khon li tnh trn s tin nhn Phn quyt ca Ta cp phc thm: cho php nguyn n c hy hp ng, buc cc bn hon li cho nhau nhng g nhn, v bn bn khng phi tr thm tin li tnh trn s tin nhn. L do: Hp ng khng thc hin c v phn t cc bn chuyn nhng nm trong khu vc quy hoch 6.214.328m2 c quyt nh s 1997/Q -UB ngy 10/5/2003 ca Ch tch UBND Thnh ph thu hi; Hp ng v hiu do li khch quan khng lm pht sinh quyn v ngha v ca cc bn, cc bn khng c li ch phi tr cho nhau nhng g nhn. Ph lc s 11 Cng vn 519/STP VB ngy 27/02/2009 ca S T php Tp. H Ch Minh V hp ng cho thu quyn s dng t ti a ch 2 6 bis in Bin Ph, Qun 1 Gia: Vn phng Thnh y Tp. H Ch Minh (VPTU) vi Ngn hng Thng mi C phn Du kh Ton Cu (GP Bank). Ni dung tm tt: Da trn c s trng u gi, ngy 19/8/2008, VPTU v GP Bank k hp ng thu quyn s dng t (hp ng c cng chng cng ngy) i vi l t ca VPTU, din tch 2.944 m2, a ch 2 6 bis in Bin Ph, Qun 1, Tp. H Ch Minh, vi

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gi tin thu l 433 t ng cho thi hn 49 nm GP Bank xy dng cao c 24 tng.30 Theo qui nh ca hp ng, GP Bank t cc, ng thi thanh ton t 1 cho VPTU mt khon tin 30 t ng. S tin cn li tr nt sau 3 thng tnh t ngy k hp ng. Qu thi hn ni trn, VPTU c quyn hy hp ng v GP Bank s b mt s tin t cc ni trn. Vo thi im t khi k hp ng cho n khi ti hn thanh ton t 2 theo qui nh ca hp ng gia cc bn, do gi nh t b gim mnh, th trng nh t b ng bng, cc ngn hng u t chi cp tn dng cho cc d n bt ng sn, nn GP Bank khng c kh nng thanh ton s tin cn li ng hn. Trc hon cnh , pha VP Bank c vn bn ngh VPTU gia hn thanh ton cho VP Bank thm mt thi gian v khng tnh li trn s tin chm tr. Da vo ni dung ca hp ng v qui nh ca php lut v x l ti sn t cc, VPTU hon ton c th hy b hp ng vi VP Bank v ng nhin c hng ton b s tin cc 30 t ng m VP Bank np trc . Nhng ngc li, nu hy hp ng, VPTU c nguy c cng b mt 133 t ng v chi ph u gi li (khong 1,6 t ng). Bi v, theo nh gi ca cc chuyn gia v theo gi cng b trn cc sn bt ng sn, gi hin ti ca l t trn l khong 300 t ng. So vi gi tr cam kt trong hp ng, gi ny b gim n 133 t ng. VPTU vn mun tip tc tha thun li vi pha VP Bank gia hn hp ng v khng tnh li trn s tin chm tr, nhng li khng tm thy c ch v cn c thch hp. Nn ngy 26/02/2009, VPTU c Cng vn s 2829 CV/VPTU gi S T php Tp. H Ch Minh hi v vic: (1) V vic gia hn thi hn thanh ton v khng tnh li sut pht i vi thi gian chm np tin thu quyn s dng t th c c khng (?); v (2) Nu cu tr li cho cu hi (1) l c, th th tc thc hin l nh th no (?). Trn c s Vn bn ca VPTU, S T php c Cng vn 519/STP VB ngy 27/02/2009, tr li c th nh sau: 1. V vic gia hn thi hn thanh ton v khng tnh li sut pht i vi thi gian chm np tin thu quyn s dng t: Hin nay, VPTU v VP Bank k hp ng cho thu t, hp ng ny c cng chng chng nhn vo ngy 19/8/2008. Do vy, quan h gia VPTU v VP Bank da trn c s hp ng cho thu quyn s dng t m hai bn k kt...

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V L, Khu t vng ch mt khch hng u gi, Bo tin nhanh Vit Nam online, http://www.vnexpress.net/GL/Kinh-doanh/2008/08/3BA05140/, truy cp ngy 25/3/2009.

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Vic VP Bank xin gia hn thi hn np tin v khng tnh li pht i vi s tin chm np, php lut hin hnh v t ai, v qun l nh nc khng qui nh, quyn v ngha v ca cc bn c th hin trong hp ng thu quyn s dng t do cc bn k kt v theo tha thun thng nht gia cc bn. Theo iu 423 BLDS 2005, cc bn c th tha thun vic sa i hp ng k kt Vic c ng cho VP Bank c gia hn v khng tnh li sut hay khng l thuc thm quyn ca VPTU. 2. Th tc thc hin vic gia hn v khng tnh li sut: Hp ng cho thu t c lp bng vn bn cng chng, th vic vic sa i ni dung hp ng cng cn phi c cng chng.

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Ph lc s 12 Sa i, b sung cc qui nh v hnh thc hp ng BLDS 2005 xut sa i, b sung:

i u 134. Giao dch dn s v hiu do iu 134. Giao dch dn s v hiu do khng tun th quy nh v hnh thc khng tun th quy nh v hnh thc Trong trng hp php lut quy nh hnh thc giao dch dn s l iu kin c hiu lc ca giao dch m cc bn khng tun theo th theo yu cu ca mt hoc cc bn, To n, c quan nh nc c thm quyn khc quyt nh buc cc bn thc hin quy nh v hnh thc ca giao dch trong mt thi hn; qu thi hn m khng thc hin th giao dch v hiu. BLDS 2005 khng qui nh khon 2 1. Trong trng hp cc bn c tha thun hoc php lut c quy nh hnh thc giao dch dn s l iu kin c hiu lc ca giao dch m cc bn khng tun theo, th theo yu cu ca mt hoc cc bn, ty tng trng hp m to n, hoc c quan c thm quyn khc c th cng nhn hiu lc ca giao dch hoc tuyn b giao dch v hiu theo cc cn c c qui nh ti khon 2 v khon 3 iu ny. B sung khon 2 iu 134 (mi): 2. Ta n hoc c quan c thm quyn cng nhn hiu lc ca giao dch dn s trong trng hp giao dch vi phm hnh thc m cc bn c bng chng hp php khc chng minh c s tn ti ca giao dch, chuyn giao cho nhau mt phn hoc ton b i tng ca hp ng, thanh ton mt phn hoc ton b s tin cn thanh ton, v nu tuyn b giao dch dn s v hiu s gy thit hi nghim trng cho mt hoc cc bn. Trong trng hp hiu lc ca giao dch c cng nhn m cc bn cha thc hin hon tt ngha v giao vt th phi tip tc thc hin ngha v giao vt; nu cc bn cha hon tt ngha v tr tin th phi tip tc tr khon tin cn thiu, theo t l tng ng tnh theo gi th trng ti thi im thanh ton, tr trng hp cc bn c tha thun khc hoc php lut qui nh khc. Qui nh ny khng p dng i vi hp ng tng cho ti sn, di chc; qui nh ny cng khng p dng i vi cc giao dch khc nu php lut c qui nh minh th v vic loi tr p dng qui nh ti iu ny vi loi giao dch khc .

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B sung khon 3 iu 134 (mi): BLDS 2005 khng qui nh khon 3 3. Nu giao dch dn s c lp khng ng hnh thc do cc bn tha thun hoc php lut qui nh v thiu mt trong cc iu kin qui nh ti khon 2 iu ny (nh va c b sung trn tc gi ch thch), th theo yu cu ca cc bn, to n hoc c quan c thm quyn khc tuyn b giao dch dn s v hiu v gii quyt hu qu ca giao dch dn s v hiu theo iu 137 ca B lut ny. iu 401. Hnh thc hp ng 1. Hp ng c th c giao kt bng li ni, bng vn bn, bng hnh vi c th, hoc bng cc hnh thc vt cht khc c th din t c ch ca cc bn v chng minh c s tn ti ca hp ng, hoc bng s kt hp ca hai hay nhiu hnh thc k trn. 2. Trong trng hp cc bn c tha thun hoc php lut c quy nh hp ng phi c th hin bng hnh thc nht nh th hp ng phi c giao kt theo ng hnh thc .

i u 401. Hnh thc hp ng dn s 1. Hp ng dn s c th c giao kt bng li ni, bng vn bn hoc bng hnh vi c th, khi php lut khng quy nh loi hp ng phi c giao kt bng mt hnh thc nht nh. 2. Trong trng hp php lut c quy nh hp ng phi c th hin bng vn bn c cng chng hoc chng thc, phi ng k hoc xin php th phi tun theo cc quy nh .

Hp ng khng b v hiu trong trng hp c vi phm v hnh thc, tr trng hp php Bi b on 2, khon 2, iu 401. lut c quy nh khc. BLDS 2005 Khng qui nh khon 3. B sung khon 3 (mi) : 3. Hnh thc hp ng l iu kin c hiu lc ca hp ng trong trng hp cc bn c tha thun hoc php lut c quy nh hp ng phi c lp bng mt hnh thc xc nh. Ph lc s 13 Sa i, b sung cc qui nh v thi im giao kt v thi im c hiu lc ca hp ng BLDS 2005 i u 404. Thi im giao kt hp ng xut sa i, b sung: iu 404. Thi im giao kt hp ng

3. Thi im giao kt hp ng bng li ni 1. Hp ng c giao kt ti thi im cc l thi im cc bn tha thun v ni bn tha thun xong ni dung ca hp dung ca hp ng. ng, tr trng hp cc bn c tha thun

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hp ng phi c giao kt theo hnh thc, th tc xc nh th thi im giao kt hp ng l thi im hon tt hnh thc, th tc . 2. Khi hp ng c giao kt gin tip 1. Hp ng dn s c giao kt vo thi thng qua th tn hoc cc phng tin im bn ngh nhn c tr li chp thng tin, lin lc khc, hoc tuy c giao nhn giao kt. kt trc tip nhng mt hoc cc bn dnh mt thi hn ch bn c ngh tr li, th thi im giao kt hp ng l thi im bn ngh nhn c tr li chp nhn giao kt. 3. Trong trng hp vic giao kt hp ng 4. Thi im giao kt hp ng bng vn bn c cc bn xc lp trc tip, trn cng mt l thi im bn sau cng k vo vn bn. vn bn, th thi im giao kt hp ng l thi im bn sau cng k vo vn bn; nu hp ng c lp thnh nhiu vn bn c ni dung ging nhau, th hp ng c giao kt ti thi im mi bn k vo vn bn ca bn kia. Vn bn c lp ch cn cc bn hoc ngi i din hp php ca cc bn k tn v ghi r h tn l m khng cn phi c thm th tc no khc, k c vic phi ng du ca cc bn, tr trng hp cc bn tha thun hoc php lut c qui nh iu ny. Nu cc bn giao kt hp ng bng vn bn c gi qua bu in, hoc phng tin thng tin, lin lc khc, hoc nu ch c tr li chp nhn l c lm bng vn bn, th hp ng c giao kt ti thi im bn ngh nhn c vn bn tr li chp nhn, tr trng hp cc bn c tha thun khc hoc php lut c qui nh khc. Thi im nhn c thng ip d liu c p dng theo qui nh ca Lut Giao dch in t. 4. Trong trng hp bn c ngh tr li chp nhn giao kt hp ng bng mt hnh vi c th, th hp ng c giao kt ti thi im bn c ngh bt u thc hin hnh vi , tr trng hp php lut c qui nh khc. Nu hp ng c giao kt gin tip, hoc tuy giao kt trc tip m mt hoc

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cc bn dnh mt thi hn ch bn c ngh tr li, th hp ng c giao kt ti thi im bn ngh nhn c thng bo ca bn c ngh v vic bt u thc hin hnh vi c th . Nu bn c ngh tr li chp nhn bng vic thc hin mt cng vic c th nhng khng thng bo v vic ny cho bn ngh bit, th hp ng giao kt vo thi im hon thnh cng vic. Nhng nu theo ngh giao kt hp ng, hoc theo thi quen c xc lp gia cc bn, hoc theo tp qun, bn c ngh c th chp nhn ngh bng mt hnh vi c th m khng cn phi thng bo cho bn ngh, th hp ng c giao kt khi bn c ngh bt u thc hin hnh vi ny. 2. Hp ng dn s cng xem nh c giao kt khi ht thi hn tr li m bn nhn c ngh vn im lng, nu c tho thun im lng l s tr li chp nhn giao kt. 5. Theo tha thun, hoc theo thi quen c xc lp gia cc bn, hoc php lut c qui nh im lng l s tr li, v ngh giao kt hp ng c n nh thi hn tr li, th hp ng cng xem nh c giao kt khi ht thi hn tr li m bn c ngh vn im lng. Qui nh ny khng p dng i vi vic doanh nghip bn hng c gi cc thng tin qung co hoc gi hng ha n a ch giao dch ca ngi tiu dng. i u 405. Thi im c hiu lc ca hp ng dn s 1. Hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc. 2. Cc bn c th tha thun thi im c hiu lc ca hp ng l mt thi im xc nh, nhng khng c sm hn thi im giao kt hp ng theo qui nh ti iu 404 ca B lut ny. Nu php lut c qui nh hp ng c hiu lc ti mt thi im xc nh, th cc bn khng c tha thun thi im c hiu lc ca hp ng sm hn thi im .

i u 405. Hiu lc ca hp ng dn s Hp ng c giao kt hp php c hiu lc t thi im giao kt, tr trng hp c tha thun khc hoc php lut c quy nh khc. (BLDS 2005 khng qui nh khon 2)

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Ph lc s 14 Sa i, b sung cc qui nh v hiu lc rng buc ca hp ng BLDS 2005 Khng qui nh xut sa i, b sung: iu 405a. Hiu lc ca hp ng (dn s) 1. Hp ng c giao kt hp php c hiu lc nh php lut i vi cc bn tham gia hp ng. 2. Hp ng ch c th b sa i hoc hy b, nu c tha thun hoc php lut c qui nh. i u 303. Trch nhim dn s do khng iu 303. Trch nhim dn s do khng thc hin ngha v giao vt thc hin ngha v giao vt 1. Khi bn c ngha v khng thc hin ngha v giao vt c nh th ngi c quyn c quyn yu cu bn c ngha v phi giao ng vt ; nu vt khng cn hoc b h hng th phi thanh ton gi tr ca vt. 1. Khi bn c ngha v khng thc hin ngha v giao vt c nh th ngi c quyn c quyn yu cu bn c ngha v phi giao ng vt ; nu vt khng cn th phi thanh ton gi tr ca vt; nu vt b h hng th bn c quyn c th t chi nhn vt v yu cu thanh ton gi tr ca vt, hoc nhn vt ng thi yu cu bn c ngha v sa cha hoc thanh ton tin sa cha hoc thanh ton thm phn gi tr ca vt b gim st, hoc nhn vt v yu cu gim gi tng ng vi phn gi tr ca vt b gim st, tr trng hp cc bn c tha thun khc.

2. Khi bn c ngha v khng thc hin c 2. Khi bn c ngha v khng thc hin c ngha v giao vt cng loi th phi thanh ngha v giao vt cng loi th phi thanh ton gi tr ca vt. Trong trng hp vt ton gi tr ca vt. cng loi l cc hng ha c bit khng d dng tm thy trn th trng v bn c quyn b vi phm khng c kh nng tm c ngun hng ha khc thay th, th ta n c th buc bn vi phm ngha v phi giao ng vt , tr trng hp cc bn c tha thun khc. 3. Trong trng hp bn c ngha v khng 3. Trong trng hp bn c ngha v khng thc hin c ngha v theo quy nh ti thc hin c ngha v theo quy nh ti khon 1 v khon 2 iu ny... (gi nguyn). khon 1 v khon 2 iu ny... (gi nguyn).

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Ph lc s 15 Sa i, b sung cc qui nh v sa i hp ng khi hon cnh thay i Theo PICC iu 6.2.2. PICC Hon cnh hardship c xc lp khi xy ra cc s kin lm thay i c bn s cn bng gia cc ngha v hp ng, hoc do chi ph thc hin ngha v tng ln, hoc do gi tr ca ngha v i tr gim xung, v: a) cc s kin ny xy ra hoc c bn b thit hi bit n sau khi giao kt hp ng; b) bn b bt li khng th tnh mt cch hp l n cc s kin khi giao kt hp ng; c) cc s kin ny nm ngoi s kim sot ca bn b bt li; v d) ri ro v cc s kin ny khng c bn b bt li gnh chu. Kin ngh b sung vo BLDS 2005 iu 423a. Sa i hp ng (dn s)31 khi hon cnh thay i 1. Mt bn c quyn yu cu bn kia sa i hp ng khi xy ra s kin khch quan lm thay i c bn s cn bng gia cc ngha v hp ng, hoc do chi ph thc hin ngha v tng ln bt thng, hoc do gi tr ca khon thu nhp ng l nhn c t hp ng gim xung bt thng, tr trng hp cc bn c tha thun khc hoc php lut c qui nh khc. c coi l s kin khch quan nu tha mn cc iu kin sau y: - Xy ra hoc c bn b thit hi bit n sau khi giao kt hp ng, tr nhng s kin bn bit hoc ng l phi bit; - Xy ra khch quan, nm ngoi s kim sot ca bn b thit hi; - Ri ro v cc s kin ny khng thuc trng hp qui nh ti cc iu 440 BLDS 2005, iu 57 n iu 62 Lut Thng mi 2005 v cc qui nh tng t trong BLDS 2005 v Lut Thng mi 2005; c coi l bt thng nu chi ph thc hin ngha v tng ln, hoc gi tr ca khon thu nhp ng l thu c t hp ng gim xung ng k, ngoi d kin v vt ngoi phm vi ri ro v gi c theo tp qun ca lnh vc tng ng. iu 6.2.3 PICC 1. Trong trng hp hardship, bn b bt li 2. Quyn yu cu sa i hp ng theo c quyn yu cu tin hnh m phn li hp khon 1 iu ny phi c bn b thit hi

Hai t dn s trong ngoc n ni trn nhm ph hp vi iu 423 BLDS 2005 hin hnh. Hai t ny c d kin s phi b i cho ph hp vi cc qui nh khc mang tnh h thng ca php lut hp ng, to s thun li cho vic p dng php lut gii quyt cc tranh chp v hp ng ni chung.

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ng. Yu cu ny phi c a ra khng a ra khng chm tr v phi c cn c. chm tr v phi c cn c. Vic yu cu sa i hp ng khng cho 2. Yu cu m phn li hp ng, bn thn php cc bn c n phng tm ngng n, khng cho php bn b bt li c quyn thc hin, chm dt hoc hy b hp ng, tr trng hp c cn c do hp ng hoc tm nh ch thc hin ngha v ca mnh. do php lut qui nh p dng cc quyn . 3. Nu cc bn khng tha thun c trong 3. Nu bn c ngh sa i hp ng mt thi hn hp l th mi bn c quyn yu t chi, hoc khng tr li, hoc cc bn cu to n gii quyt. khng tha thun c vic sa i hp ng trong mt thi gian hp l, th mi bn c quyn yu cu ta n hoc trng ti (nu hp ng c tha thun chn th tc trng ti) gii quyt. 4. Nu xc nh c hon cnh hardship v 4. Nu ta n hoc trng ti xc nh s nu thy hp l, ta n c th: kin khch quan xy ra l c cn c cho php bn b thit hi c quyn yu cu sa i hp ng nh qui nh ti khon 1 iu ny, v nu thy hp l, th ta n hoc trng ti c th a ra mt trong cc quyt nh sau y: a. Chm dt hp ng vo ngy v theo cc a. Sa i hp ng nhm thit lp li s cn iu kin do ta n quyt nh; hoc bng gia cc ngha v hp ng; hoc b. Sa i hp ng nhm thit lp li s cn b. Chm dt hp ng vo ngy v theo cc bng gia cc ngha v hp ng. iu kin do ta n quyt nh. Bn t chi tha thun hoc vi phm tho thun tri vi nguyn tc thin ch, trung thc m gy thit hi cho bn kia th phi bi thng thit hi cho bn kia, tr trng hp cc bn c tha thun khc.